0000947871-17-000211.txt : 20170314 0000947871-17-000211.hdr.sgml : 20170314 20170314194712 ACCESSION NUMBER: 0000947871-17-000211 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170310 FILED AS OF DATE: 20170314 DATE AS OF CHANGE: 20170314 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: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 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: 17689497 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 ss34862_4.xml OWNERSHIP DOCUMENT X0306 4 2017-03-10 0 0001192448 GLAUKOS Corp GKOS 0001171005 SILVERSTEIN JONATHAN C/O GLAUKOS CORPORATION 26051 MERIT CIRCLE, SUITE 103 LAGUNA HILLS CA 92653 1 0 0 0 Common Stock, par value $0.01 per share 2017-03-10 4 S 0 96113 45.98 D 2008071 I See Footnotes Common Stock, par value $0.01 per share 2017-03-10 4 S 0 915 45.98 D 19129 I See Footnotes Common Stock, par value $0.01 per share 2017-03-13 4 S 0 208712 45.30 D 1799359 I See Footnotes Common Stock, par value $0.01 per share 2017-03-13 4 S 0 1998 45.30 D 17141 I See Footnotes Common Stock, par value $0.01 per share 2017-03-13 4 S 0 693 46.13 D 1798666 I See Footnotes Common Stock, par value $0.01 per share 2017-03-13 4 S 0 7 46.13 D 17134 I See Footnotes Common Stock, par value $0.01 per share 2017-03-14 4 S 0 73401 44.54 D 1725265 I See Footnotes Common Stock, par value $0.01 per share 2017-03-14 4 S 0 699 44.54 D 16435 I See Footnotes The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were sold in multiple transactions at prices ranging from $45.80 to $46.31 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares sold 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 sold in multiple transactions at prices ranging from $45.00 to $45.87 inclusive. Upon request, the Reporting Person undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold 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 sold in multiple transactions at prices ranging from $46.04 to $46.23 inclusive. Upon request, the Reporting Person undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold 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 sold in multiple transactions at prices ranging from $44.31 to $44.69 inclusive. Upon request, the Reporting Person undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold 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 Securities Exchange Act, as amended (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 2017-03-14