4//SEC Filing
GLAUKOS Corp 4
Accession 0000904454-15-000439
$GKOSCIK 0001192448operating
Filed
Jun 30, 8:00 PM ET
Accepted
Jul 1, 3:30 PM ET
Size
27.7 KB
Accession
0000904454-15-000439
Insider Transaction Report
Form 4
GLAUKOS CorpGKOS
DOMAIN PARTNERS IV LP
10% Owner
Transactions
- Exercise/Conversion
Common Stock
2015-06-30$7.65/sh+20,470$156,596→ 2,077,660 total - Conversion
Series B Preferred Stock
2015-06-30−925,926→ 0 total→ Common Stock (925,926 underlying) - Conversion
Series C Preferred Stock
2015-06-30−440,178→ 0 total→ Common Stock (440,178 underlying) - Conversion
Common Stock
2015-06-30+2,057,190→ 2,057,190 total - Tax Payment
Common Stock
2015-06-30$18.00/sh−8,700$156,600→ 2,068,960 total - Conversion
Series A Preferred Stock
2015-06-30−585,958→ 0 total→ Common Stock (585,958 underlying) - Exercise/Conversion
Warrant
2015-06-30−20,470→ 0 totalExercise: $7.65→ Series D Preferred Stock (20,470 underlying) - Conversion
Series D Preferred Stock
2015-06-30−105,128→ 0 total→ Common Stock (105,128 underlying)
DOVEY BRIAN H
10% Owner
Transactions
- Conversion
Series D Preferred Stock
2015-06-30−105,128→ 0 total→ Common Stock (105,128 underlying) - Conversion
Common Stock
2015-06-30+2,057,190→ 2,057,190 total - Exercise/Conversion
Common Stock
2015-06-30$7.65/sh+20,470$156,596→ 2,077,660 total - Conversion
Series A Preferred Stock
2015-06-30−585,958→ 0 total→ Common Stock (585,958 underlying) - Tax Payment
Common Stock
2015-06-30$18.00/sh−8,700$156,600→ 2,068,960 total - Conversion
Series C Preferred Stock
2015-06-30−440,178→ 0 total→ Common Stock (440,178 underlying) - Exercise/Conversion
Warrant
2015-06-30−20,470→ 0 totalExercise: $7.65→ Series D Preferred Stock (20,470 underlying) - Conversion
Series B Preferred Stock
2015-06-30−925,926→ 0 total→ Common Stock (925,926 underlying)
SCHOEMAKER KATHLEEN K
10% Owner
Transactions
- Exercise/Conversion
Common Stock
2015-06-30$7.65/sh+20,470$156,596→ 2,077,660 total - Conversion
Series C Preferred Stock
2015-06-30−440,178→ 0 total→ Common Stock (440,178 underlying) - Conversion
Common Stock
2015-06-30+2,057,190→ 2,057,190 total - Conversion
Series D Preferred Stock
2015-06-30−105,128→ 0 total→ Common Stock (105,128 underlying) - Conversion
Series B Preferred Stock
2015-06-30−925,926→ 0 total→ Common Stock (925,926 underlying) - Tax Payment
Common Stock
2015-06-30$18.00/sh−8,700$156,600→ 2,068,960 total - Conversion
Series A Preferred Stock
2015-06-30−585,958→ 0 total→ Common Stock (585,958 underlying) - Exercise/Conversion
Warrant
2015-06-30−20,470→ 0 totalExercise: $7.65→ Series D Preferred Stock (20,470 underlying)
BLAIR JAMES C
10% Owner
Transactions
- Conversion
Series A Preferred Stock
2015-06-30−585,958→ 0 total→ Common Stock (585,958 underlying) - Conversion
Series C Preferred Stock
2015-06-30−440,178→ 0 total→ Common Stock (440,178 underlying) - Exercise/Conversion
Common Stock
2015-06-30$7.65/sh+20,470$156,596→ 2,077,660 total - Tax Payment
Common Stock
2015-06-30$18.00/sh−8,700$156,600→ 2,068,960 total - Conversion
Series B Preferred Stock
2015-06-30−925,926→ 0 total→ Common Stock (925,926 underlying) - Exercise/Conversion
Warrant
2015-06-30−20,470→ 0 totalExercise: $7.65→ Series D Preferred Stock (20,470 underlying) - Conversion
Common Stock
2015-06-30+2,057,190→ 2,057,190 total - Conversion
Series D Preferred Stock
2015-06-30−105,128→ 0 total→ Common Stock (105,128 underlying)
TREU JESSE I
10% Owner
Transactions
- Conversion
Common Stock
2015-06-30+2,057,190→ 2,057,190 total - Exercise/Conversion
Warrant
2015-06-30−20,470→ 0 totalExercise: $7.65→ Series D Preferred Stock (20,470 underlying) - Conversion
Series D Preferred Stock
2015-06-30−105,128→ 0 total→ Common Stock (105,128 underlying) - Conversion
Series C Preferred Stock
2015-06-30−440,178→ 0 total→ Common Stock (440,178 underlying) - Exercise/Conversion
Common Stock
2015-06-30$7.65/sh+20,470$156,596→ 2,077,660 total - Conversion
Series B Preferred Stock
2015-06-30−925,926→ 0 total→ Common Stock (925,926 underlying) - Tax Payment
Common Stock
2015-06-30$18.00/sh−8,700$156,600→ 2,068,960 total - Conversion
Series A Preferred Stock
2015-06-30−585,958→ 0 total→ Common Stock (585,958 underlying)
Footnotes (7)
- [F1]All outstanding Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration. The Preferred Stock had no expiration date.
- [F2]The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates IV, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
- [F3]As managing members of the sole general partner of DP IV Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP IV Associates, L.P., as reported on a Form 4 for DP IV Associates, L.P. filed on the same date as this Form 4.
- [F4]As managing members of the sole general partner of Domain Partners VIII, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VIII, L.P., as reported on a Form 4 for Domain Partners VIII, L.P. filed on the same date as this Form 4.
- [F5]As managing members of the sole general partner of DP VIII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VIII Associates, L.P., as reported on a Form 4 for DP VIII Associates, L.P. filed on the same date as this Form 4.
- [F6]As managing members of Domain Associates, LLC, each Reporting Owner listed below may also be deemed to indirectly beneficially own 63,200 shares of Common Stock held by Domain Associates, LLC. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by Domain Associates, LLC, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
- [F7]The Warrant was automatically net exercised based on the IPO price of $18 per share immediately prior to the completion of the IPO.
Documents
Issuer
GLAUKOS Corp
CIK 0001192448
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001192448
Filing Metadata
- Form type
- 4
- Filed
- Jun 30, 8:00 PM ET
- Accepted
- Jul 1, 3:30 PM ET
- Size
- 27.7 KB