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: Montreux Equity Management IV, LLC (10% Owner)
Reporting Person: MONTREUX EQUITY PARTNERS IV LP (10% Owner)
Reporting Person: Montreux IV Associates, LLC (10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series C Convertible Preferred Stock	$		Common Stock (1415449)		Indirect
Series C Convertible Preferred Stock	$		Common Stock (108360)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (630788)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (37186)		Indirect
Series E Convertible Preferred Stock	$		Common Stock (288429)		Indirect
Series F Convertible Preferred Stock	$		Common Stock (783740)		Indirect
Series F Convertible Preferred Stock	$		Common Stock (15860)		Indirect

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 ("IPO") and have no expiration date.

F2: Montreux Equity Management IV, LLC, a California limited liability company (''MEM IV'') serves as the sole general partner of Montreux Equity Partners IV, L.P., a California limited partnership (''MEP IV'') and as manager of Montreux IV Associates, LLC, a California limited liability company (''MA IV''). John Savarese, M.D., Howard D. Palefsky and Daniel K. Turner III are directors and/or members of MEM IV and share voting and dispositive power over the shares held by MEP IV, MA IV and MEM IV; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein.