0000947871-18-000221.txt : 20180306
0000947871-18-000221.hdr.sgml : 20180306
20180306194146
ACCESSION NUMBER: 0000947871-18-000221
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180302
FILED AS OF DATE: 20180306
DATE AS OF CHANGE: 20180306
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: 18671567
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
ss82780_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-03-02
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
2018-03-02
4
S
0
265766
31.92
D
562839
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-02
4
S
0
2533
31.92
D
5362
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-02
4
S
0
194433
32.80
D
368406
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-02
4
S
0
1851
32.80
D
3511
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-05
4
S
0
128092
32.05
D
240314
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-05
4
S
0
1220
32.05
D
2291
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-05
4
S
0
80516
33.06
D
159798
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-05
4
S
0
768
33.06
D
1523
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-06
4
S
0
93008
30.01
D
66790
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-06
4
S
0
886
30.01
D
637
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-06
4
S
0
20114
30.77
D
46676
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-06
4
S
0
192
30.77
D
445
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-06
4
S
0
46676
32.06
D
0
I
See Footnotes
Common Stock, par value $0.01 per share
2018-03-06
4
S
0
445
32.06
D
0
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 $31.41 to $32.39 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 $32.42 to $33.40 inclusive. Upon request, the Reporting Person undertakes 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 $31.64 to $32.62 inclusive. Upon request, the Reporting Person undertakes 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 $32.64 to $33.39 inclusive. Upon request, the Reporting Person undertakes 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 $29.48 to $30.47 inclusive. Upon request, the Reporting Person undertakes 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 $30.48 to $31.47 inclusive. Upon request, the Reporting Person undertakes 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 $31.49 to $32.46 inclusive. Upon request, the Reporting Person undertakes 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"). OrbiMed Capital GP III LLC ("GP III") is the general partner of OPI III, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP III. By virtue of such relationships, GP III and Advisors may be deemed to have voting and investment power over the securities held by OPI III and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI III. The Reporting Person is a member of Advisors.
These Shares are held of record by OrbiMed Associates III, LP ("Associates III"). Advisors is the general partner of Associates III. By virtue of such relationships, Advisors may be deemed to have voting and investment power over the securities held by Associates III and as a result may be deemed to have beneficial ownership over such securities. Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by Associates III.
Each of the Reporting Person, GP III and Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of 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
2018-03-06