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