AI assistant
GLAUKOS Corp — Director's Dealing 2021
Mar 5, 2021
31074_dirs_2021-03-05_3b550b19-c266-4f03-a5d2-ba23f5360a4b.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2021-03-03
Reporting Person: Kliman Gilbert H (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-03 | Common Stock | J | 300000 | $0.00 | Disposed | 333917 | Indirect |
| 2021-03-03 | Common Stock | J | 3000 | $0.00 | Acquired | 3000 | Indirect |
| 2021-03-03 | Common Stock | J | 3000 | $0.00 | Disposed | 0 | Indirect |
| 2021-03-03 | Common Stock | J | 680 | $0.00 | Acquired | 6394 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3362 | Indirect |
| Common Stock | 9085 | Indirect |
Footnotes
F1: Represents pro rata in-kind distribution by InterWest Partners X, LP ("IP10") without consideration to its limited and general partners in accordance with the terms of the InterWest Partners X, LP Limited Partnership Agreement. Includes 3,000 shares distributed to InterWest Management Partners X, LLC ("IMP10") its general partner.
F2: Represents pro rata in-kind distribution by IMP10 without consideration to its members in accordance with the terms of the InterWest Management Partners X, LLC Operating Agreement. Includes 680 shares distributed to the Reporting Person.
F3: The shares are owned by IP10. The general partner of IP10 is IMP10. The Reporting Person has shared voting and investment control over shares owned by IP10, and disclaims beneficial ownership of those securities, except to the extent of his pecuniary interest therein.
F4: Consists of shares owned by InterWest Partners IX, LP ("IP9"). The Reporting Person is a Managing Director of InterWest Management Partners IX, LLC, the general partner of IP9. The Reporting Person has shared voting and investment control over shares owned by IP9, and disclaims beneficial ownership of those securities, except to the extent of his pecuniary interest therein.
F5: Consists of shares owned by InterWest Venture Management Company ("IVMC"). The Reporting Person is an officer, director and shareholder of IVMC and has sole voting and investment control over the shares held by IVMC.
F6: Includes 4,880 restricted stock units that have not yet vested or been delivered to the Reporting Person