0000947871-16-001419.txt : 20160812
0000947871-16-001419.hdr.sgml : 20160812
20160812202204
ACCESSION NUMBER: 0000947871-16-001419
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160810
FILED AS OF DATE: 20160812
DATE AS OF CHANGE: 20160812
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: SILVERSTEIN JONATHAN
CENTRAL INDEX KEY: 0001171005
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37463
FILM NUMBER: 161829665
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
ss6470_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-08-10
0
0001192448
GLAUKOS Corp
GKOS
0001171005
SILVERSTEIN JONATHAN
C/O GLAUKOS CORPORATION
26051 MERIT CIRCLE, SUITE 103
LAGUNA HILLS
CA
1
0
0
0
Common Stock, par value $0.01 per share
2016-08-10
4
S
0
116825
33.77
D
2332779
I
See Footnotes
Common Stock, par value $0.01 per share
2016-08-10
4
S
0
1113
33.77
D
22221
I
See Footnotes
Common Stock, par value $0.01 per share
2016-08-11
4
S
0
159382
33.63
D
2173397
I
See Footnotes
Common Stock, par value $0.01 per share
2016-08-11
4
S
0
1518
33.63
D
20703
I
See Footnotes
Common Stock, par value $0.01 per share
2016-08-12
4
S
0
13967
33.72
D
2159430
I
See Footnotes
Common Stock, par value $0.01 per share
2016-08-12
4
S
0
133
33.72
D
20570
I
See Footnotes
The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $33.61 to $33.89 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $33.43 to $33.89 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $33.65 to $33.85 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
These securities are held of record by OrbiMed Private Investments III, LP ("OPI III") and may be deemed to be indirectly beneficially owned by OrbiMed Capital GP III LLC ("GP III"), OrbiMed Advisors LLC ("Advisors") and Samuel D. Isaly ("Isaly"). GP III is the sole general partner of OPI III. Advisors, a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP III. By virtue of such relationships, GP III and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI III noted above. The reporting person is a member of Advisors.
These securities are held of record by OrbiMed Associates III, LP ("Associates III") and may be deemed to be indirectly beneficially owned by Advisors and Isaly. Advisors is the sole general partner of Associates III. Isaly is the managing member of, and holder of a controlling interest in, Advisors. By virtue of such relationship, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by Associates III noted above. As a result, each of Advisors and Isaly may be deemed to have beneficial ownership of the securities held by Associates III.
Each of the Reporting Person, GP III, Advisors, and Isaly disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
/s/ Jonathan T. Silverstein
2016-08-12