GLAUKOS Corp — Director's Dealing 2015

Jun 24, 2015

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2015-06-24

Reporting Person: Kliman Gilbert H (Director, 10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series C Convertible Preferred Stock	$		Common Stock (1523809)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (674510)		Indirect
Series E Convertible Preferred Stock	$		Common Stock (151653)		Indirect
Series F Convertible Preferred Stock	$		Common Stock (253390)		Indirect
Stock Option (right to buy)	$7.275		Common Stock (10000)		Direct

Footnotes

F1: The shares of Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock shall automatically convert into shares of common stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and have no expiration date.

F2: Granted July 10, 2014 pursuant to the Issuer's 2011 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.

F3: Shares held by InterWest Partners IX, L.P., a California limited partnership (''IWP-9''). InterWest Management Partners IX, LLC, a California limited liability company (''IMP-9'') serves as the sole general partner of IWP-9 and owns no shares directly. Dr. Kliman, is a managing director of IMP-9 and shares voting and dispositive power over the shares held by IWP-9; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interest therein.