0000904454-15-000422.txt : 20150624
0000904454-15-000422.hdr.sgml : 20150624
20150624171638
ACCESSION NUMBER: 0000904454-15-000422
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150624
FILED AS OF DATE: 20150624
DATE AS OF CHANGE: 20150624
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GLAUKOS Corp
CENTRAL INDEX KEY: 0001192448
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 26051 MERIT CIRCLE
STREET 2: SUITE 103
CITY: LAGUNA HILLS
STATE: CA
ZIP: 92653
BUSINESS PHONE: 949-367-9600
MAIL ADDRESS:
STREET 1: 26051 MERIT CIRCLE, SUITE 103
CITY: LAGUNA HILLS
STATE: CA
ZIP: 92653
FORMER COMPANY:
FORMER CONFORMED NAME: GLAUKOS CORP
DATE OF NAME CHANGE: 20020925
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BLAIR JAMES C
CENTRAL INDEX KEY: 0001024000
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37463
FILM NUMBER: 15949969
MAIL ADDRESS:
STREET 1: 5880 PACIFIC CENTER BLVD
CITY: SAN DIEGO
STATE: CA
ZIP: 92121-4204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DOMAIN PARTNERS IV LP
CENTRAL INDEX KEY: 0001077714
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37463
FILM NUMBER: 15949970
BUSINESS ADDRESS:
STREET 1: ONE PALMER SQ
CITY: PRINCETON
STATE: NJ
ZIP: 08542
MAIL ADDRESS:
STREET 1: ONE PALMER SQ
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHOEMAKER KATHLEEN K
CENTRAL INDEX KEY: 0001207789
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37463
FILM NUMBER: 15949971
MAIL ADDRESS:
STREET 1: ONE PALMER SQUARE
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TREU JESSE I
CENTRAL INDEX KEY: 0001013425
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37463
FILM NUMBER: 15949972
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DOVEY BRIAN H
CENTRAL INDEX KEY: 0001207786
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37463
FILM NUMBER: 15949973
MAIL ADDRESS:
STREET 1: ONE PALMER SQUARE
CITY: PRINCETON
STATE: NJ
ZIP: 08542
3
1
edgar.xml
PRIMARY DOCUMENT
X0206
3
2015-06-24
0
0001192448
GLAUKOS Corp
GKOS
0001077714
DOMAIN PARTNERS IV LP
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001024000
BLAIR JAMES C
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001207786
DOVEY BRIAN H
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001013425
TREU JESSE I
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001207789
SCHOEMAKER KATHLEEN K
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
Series A Preferred Stock
Common Stock
585958
D
Series B Preferred Stock
Common Stock
925926
D
Series C Preferred Stock
Common Stock
440178
D
Series D Preferred Stock
Common Stock
105128
D
Warrant
7.65
Series D Preferred Stock
20470
D
All outstanding Preferred Stock will automatically convert 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 has no expiration date.
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 5(b)(iv) of Form 3, 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.
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 3 for DP IV Associates, L.P. filed on the same date as this Form 3.
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 3 for Domain Partners VIII, L.P. filed on the same date as this Form 3.
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 3 for DP VIII Associates, L.P. filed on the same date as this Form 3.
As managing members of Domain Associates, LLC, each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Associates, LLC, as reported on a Form 3 for Domain Associates, LLC filed on the same date as this Form 3.
The Warrant will be automatically net exercised based on the IPO price immediately prior to the completion of the IPO.
/s/ Kathleen K. Schoemaker, as Managing Member of One Palmer Square Associates IV, LLC, General Partner of Domain Partners IV, L.P., individually, and as Attorney-in-Fact for J. Blair, B. Dovey and J. Treu
2015-06-24