0001104659-15-047319.txt : 20150624 0001104659-15-047319.hdr.sgml : 20150624 20150624164214 ACCESSION NUMBER: 0001104659-15-047319 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: FRAZIER ALAN D CENTRAL INDEX KEY: 0001018534 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949562 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Every Nathan R CENTRAL INDEX KEY: 0001531105 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949563 MAIL ADDRESS: STREET 1: FRAZIER HEALTHCARE VENTURES STREET 2: 601 UNION TWO UNION SQUARE SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Topper James N CENTRAL INDEX KEY: 0001341382 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949564 MAIL ADDRESS: STREET 1: 550 HAMILTON AVENUE, SUITE 100 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Heron Patrick J CENTRAL INDEX KEY: 0001365617 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949565 MAIL ADDRESS: STREET 1: 550 HAMILTON AVE., SUITE 100 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Naini Nader J CENTRAL INDEX KEY: 0001344203 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949566 MAIL ADDRESS: STREET 1: 601 UNION STREET, SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FHM V, LLC CENTRAL INDEX KEY: 0001346944 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949568 BUSINESS ADDRESS: STREET 1: 601 UNION STREET, SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: (206) 621-7200 MAIL ADDRESS: STREET 1: 601 UNION STREET, SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FHM V, LP CENTRAL INDEX KEY: 0001346948 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949567 BUSINESS ADDRESS: STREET 1: 601 UNION STREET, SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: (206) 621-7200 MAIL ADDRESS: STREET 1: 601 UNION STREET, SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frazier Healthcare V, LP CENTRAL INDEX KEY: 0001341169 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15949569 BUSINESS ADDRESS: STREET 1: 601 UNION STREET, SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: (206) 621-7200 MAIL ADDRESS: STREET 1: 601 UNION STREET, SUITE 3200 CITY: SEATTLE STATE: WA ZIP: 98101 3 1 a3.xml 3 X0206 3 2015-06-24 0 0001192448 GLAUKOS Corp GKOS 0001341169 Frazier Healthcare V, LP 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 0001346944 FHM V, LLC 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 0001346948 FHM V, LP 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 0001531105 Every Nathan R 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 0001018534 FRAZIER ALAN D 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 0001344203 Naini Nader J 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 0001365617 Heron Patrick J 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 0001341382 Topper James N 601 UNION STREET, SUITE 3200 SEATTLE WA 98101 0 0 1 0 Series C Convertible Preferred Stock Common Stock 1523809 D Series D Convertible Preferred Stock Common Stock 649805 D Series E Convertible Preferred Stock Common Stock 151653 D Series F Convertible Preferred Stock Common Stock 253390 D Series D Convertible Preferred Stock Warrant (right to buy) Common Stock 24705 D 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 ("IPO") and have no expiration date. 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). This report is filed jointly by Frazier Healthcare V, L.P., a Delaware limited partnership (''FH-V''), FHM V, L.P., a Delaware limited partnership (''FHM V L.P.''), FHM V LLC a Delaware limited liability company (''FHM V LLC''), Nathan Every, Alan Frazier, Nader Naini, Patrick Heron and James Topper. Shares and warrants are held directly by FH-V. FHM V, L.P. serves as the sole general partner of FH-V and owns no shares directly. FHM V LLC serves as the sole general partner of FHM V, L.P. and owns no shares directly. Nathan Every, Alan Frazier, Nader Naini, Patrick Heron and James Topper are members of FHM V, LLC and share voting and dispositive power over the shares held by FH-V; however, they disclaim beneficial ownership of the shares held by FH-V except to the extent of their pecuniary interests therein. Frazier Healthcare V, L.P., By: FHM V, L.P., its general partner, By FHM V, LLC, its general partner, By: /s/ Steve Bailey, Chief Financial Officer 2015-06-24 FHM V, L.P., By FHM V, LLC, its general partner, By: /s/ Steve Bailey, Chief Financial Officer 2015-06-24 FHM V, LLC, By: /s/ Steve Bailey, Chief Financial Officer 2015-06-24 /s/ Nathan Every 2015-06-24 /s/ Alan Frazier 2015-06-24 /s/ Nader Naini 2015-06-24 /s/ Patrick Heron 2015-06-24 /s/ James Topper 2015-06-24