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GLAUKOS Corp — Director's Dealing 2015
Jun 24, 2015
31074_dirs_2015-06-24_44e972b1-6b5d-4337-b849-43c954fbfe7c.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2015-06-24
Reporting Person: LINK WILLIAM J PHD (Director, 10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Convertible Preferred Stock | $ | Common Stock (552000) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock (12000) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock (25200) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock (10800) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (851852) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (18518) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (38888) | Indirect | ||
| Series B Convertible Preferred Stock | $ | Common Stock (16666) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (479714) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (10428) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (21900) | Indirect | ||
| Series C Convertible Preferred Stock | $ | Common Stock (9386) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (548464) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (11805) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (25226) | Indirect | ||
| Series D Convertible Preferred Stock | $ | Common Stock (10791) | Indirect | ||
| Series E Convertible Preferred Stock | $ | Common Stock (163592) | Indirect | ||
| Series E Convertible Preferred Stock | $ | Common Stock (3420) | Indirect | ||
| Series E Convertible Preferred Stock | $ | Common Stock (7684) | Indirect | ||
| Series E Convertible Preferred Stock | $ | Common Stock (3271) | Indirect | ||
| Series F Convertible Preferred Stock | $ | Common Stock (273337) | Indirect | ||
| Series F Convertible Preferred Stock | $ | Common Stock (5715) | Indirect | ||
| Series F Convertible Preferred Stock | $ | Common Stock (12840) | Indirect | ||
| Series F Convertible Preferred Stock | $ | Common Stock (5465) | Indirect | ||
| Series D Convertible Preferred Stock Warrant (right to buy) | $ | Common Stock (27612) | Indirect | ||
| Series D Convertible Preferred Stock Warrant (right to buy) | $ | Common Stock (577) | Indirect | ||
| Series D Convertible Preferred Stock Warrant (right to buy) | $ | Common Stock (1296) | Indirect | ||
| Series D Convertible Preferred Stock Warrant (right to buy) | $ | Common Stock (552) | Indirect | ||
| Stock Option (right to buy) | $7.275 | 2024-07-10 | Common Stock (10000) | Direct |
Footnotes
F1: The shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, 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 Issuer's initial public offering ("IPO") and have no expiration date.
F2: The warrants to acquire Series D Convertible Preferred Stock shall automatically net exercise immediately prior to consummation of the IPO at the IPO price per share and the shares of Series D Convertible Preferred Stock received thereupon shall automatically convert into shares of common stock as described in footnote (1).
F3: 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.
F4: Versant Ventures I, LLC, a Delaware limited liability company (''VV I'') serves as the sole general partner of Versant Venture Capital I, L.P., a Delaware limited partnership ("VVC I"); Versant Affiliates Fund I-A, L.P., a Delaware limited partnership (''VAF I-A''), Versant Affiliates Fund I-B, L.P., a Delaware limited partnership (''VAF I-B''); and Versant Side Fund I, L.P., a Delaware limited partnership (''VSF I''). VV I owns no shares directly. Dr. Link is a director and/or member of VV I and shares voting and dispositive power over the shares held by VVC I, VAF I-A, VAF 1-B and VSF I; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interests therein.