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GLAUKOS Corp — Director's Dealing 2015
Jun 24, 2015
31074_dirs_2015-06-24_aed8063d-fc2e-4ea7-ae1f-d2f4e5cd0942.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: VERSANT VENTURES I LLC (10% Owner)
Reporting Person: VERSANT VENTURE CAPITAL I LP (10% Owner)
Reporting Person: VERSANT AFFILIATES FUND I-A LP (10% Owner)
Reporting Person: VERSANT AFFILIATES FUND I-B LP (10% Owner)
Reporting Person: VERSANT SIDE FUND I LP (10% Owner)
Reporting Person: ATWOOD BRIAN G (10% Owner)
Reporting Person: COLELLA SAMUEL D (10% Owner)
Reporting Person: JAFFE ROSS A MD (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 |
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 the 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: The shares and warrants are held by Versant Venture Capital I, L.P., a Delaware limited partnership ("VVC I"). Versant Ventures I, LLC, a Delaware limited liability company ("VV I'') serves as the sole general partner of VVC I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VVC I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
F4: The shares and warrants are held by Versant Affiliates Fund I-A, L.P., a Delaware limited partnership ("VAF I-A''). VV I serves as the sole general partner of VAF I-A. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-A; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
F5: The shares and warrants are held by Versant Affiliates Fund I-B, L.P., a Delaware limited partnership ("VAF I-B''). VV I serves as the sole general partner of VAF I-B. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-B; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
F6: The shares and warrants are held by Versant Side Fund I, L.P., a Delaware limited partnership ("VSF I''). VV I serves as the sole general partner of VSF I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VSF I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.