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GLAUKOS Corp — Director's Dealing 2015
Jun 24, 2015
31074_dirs_2015-06-24_8eff9f2f-3a12-4514-9ae0-1582bde43b12.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: InterWest Management Partners IX, LLC (10% Owner)
Reporting Person: InterWest Partners IX, LP (10% Owner)
Reporting Person: GIANOS PHILIP T (10% Owner)
Reporting Person: Holmes W Stephen (10% Owner)
Reporting Person: ORONSKY ARNOLD L (10% Owner)
Reporting Person: CLEVELAND BRUCE A (10% Owner)
Reporting Person: Kjellson Nina S (10% Owner)
Reporting Person: NASR KHALED (10% Owner)
Reporting Person: Pepper Douglas A (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 |
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: 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. Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman, M.D. and Arnold L. Oronsky are the managing directors of IMP-9. Bruce A. Cleveland, Nina Kjellson, Khaled A. Nasr and Douglas A. Pepper are the venture members of IMP9. These individuals share voting and dispositive power over the shares held by IWP-9; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. Gilbert H. Kliman, M.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.