0000947871-17-000697.txt : 20170905
0000947871-17-000697.hdr.sgml : 20170904
20170905212103
ACCESSION NUMBER: 0000947871-17-000697
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170831
FILED AS OF DATE: 20170905
DATE AS OF CHANGE: 20170905
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: 171070102
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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
4
1
ss57835_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-08-31
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
2017-08-31
4
S
0
44498
37.82
D
1358833
I
See Footnotes
Common Stock, par value $0.01 per share
2017-08-31
4
S
0
424
37.82
D
12945
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-01
4
S
0
109040
37.72
D
1249793
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-01
4
S
0
1038
37.72
D
11907
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-05
4
S
0
173349
37.94
D
1076444
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-05
4
S
0
1651
37.94
D
10256
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-05
4
S
0
189792
39.63
D
886652
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-05
4
S
0
1808
39.63
D
8448
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-05
4
S
0
58047
40.77
D
828605
I
See Footnotes
Common Stock, par value $0.01 per share
2017-09-05
4
S
0
553
40.77
D
7895
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 $37.75 to $37.83 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.
These Shares were sold in a block order at a price of $37.72.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $37.75 to $38.04 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 $39.33 to $40.30 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 $40.33 to $41.22 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 Shares 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. Isaly, a natural person, is the managing member of and owner of a controlling interest in Advisors. By virtue of such relationships, GP III, Advisors and Isaly 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 Shares 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 relationships, 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 of 1934, 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
2017-09-05