0001104659-15-048952.txt : 20150630 0001104659-15-048952.hdr.sgml : 20150630 20150630174305 ACCESSION NUMBER: 0001104659-15-048952 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150630 DATE AS OF CHANGE: 20150630 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: VERSANT VENTURE CAPITAL I LP CENTRAL INDEX KEY: 0001268786 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962388 BUSINESS ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 6502337877 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VERSANT VENTURES I LLC CENTRAL INDEX KEY: 0001279905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962389 BUSINESS ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 650-233-7877 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUBASH BARBARA N CENTRAL INDEX KEY: 0001279592 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962390 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VERSANT SIDE FUND I LP CENTRAL INDEX KEY: 0001268792 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962393 BUSINESS ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 6502337877 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VERSANT AFFILIATES FUND I-B LP CENTRAL INDEX KEY: 0001268790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962394 BUSINESS ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 6502337877 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VERSANT AFFILIATES FUND I-A LP CENTRAL INDEX KEY: 0001268791 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962395 BUSINESS ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 6502337877 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROBERTSON REBECCA B CENTRAL INDEX KEY: 0001201585 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962391 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILDER DONALD B CENTRAL INDEX KEY: 0001279660 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962392 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 4 1 a4.xml 4 X0306 4 2015-06-30 0 0001192448 GLAUKOS Corp GKOS 0001279905 VERSANT VENTURES I LLC C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 0001268786 VERSANT VENTURE CAPITAL I LP C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 0001268791 VERSANT AFFILIATES FUND I-A LP C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 0001268790 VERSANT AFFILIATES FUND I-B LP C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 0001268792 VERSANT SIDE FUND I LP C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 0001279660 MILDER DONALD B C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 0001201585 ROBERTSON REBECCA B C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 0001279592 LUBASH BARBARA N C/O VERSANT VENTURES ONE SANSOME STREET, SUITE 3630 SAN FRANCISCO CA 94104 0 0 1 0 Common Stock 2015-06-30 4 C 0 2868959 A 2868959 I Through Versant Venture Capital I, L.P. Common Stock 2015-06-30 4 M 0 27612 A 2896571 I Through Versant Venture Capital I, L.P. Common Stock 2015-06-30 4 F 0 11736 18.00 D 2884835 I Through Versant Venture Capital I, L.P. Common Stock 2015-06-30 4 C 0 61886 A 61886 I Through Versant Affiliates Fund I-A, L.P. Common Stock 2015-06-30 4 M 0 577 A 62463 I Through Versant Affiliates Fund I-A, L.P. Common Stock 2015-06-30 4 F 0 246 18.00 D 62217 I Through Versant Affiliates Fund I-A, L.P. Common Stock 2015-06-30 4 C 0 131738 A 131738 I Through Versant Affiliates Fund I-B L.P. Common Stock 2015-06-30 4 M 0 1296 A 133034 I Through Versant Affiliates Fund I-B L.P. Common Stock 2015-06-30 4 F 0 551 18.00 D 132483 I Through Versant Affiliates Fund I-B L.P. Common Stock 2015-06-30 4 C 0 56379 A 56379 I Through Versant Side Fund I, L.P. Common Stock 2015-06-30 4 M 0 552 A 56931 I Through Versant Side Fund I, L.P. Common Stock 2015-06-30 4 F 0 235 18.00 D 56696 I Through Versant Side Fund I, L.P. Series A Convertible Preferred Stock 2015-06-30 4 C 0 552000 0 D Common Stock 552000 0 I Through Versant Venture Capital I, L.P. Series A Convertible Preferred Stock 2015-06-30 4 C 0 12000 0 D Common Stock 12000 0 I Through Versant Affiliates Fund I-A, L.P. Series A Convertible Preferred Stock 2015-06-30 4 C 0 25200 0 D Common Stock 25200 0 I Through Versant Affiliates Fund I-B L.P. Series A Convertible Preferred Stock 2015-06-30 4 C 0 10800 0 D Common Stock 10800 0 I Through Versant Side Fund I, L.P. Series B Convertible Preferred Stock 2015-06-30 4 C 0 851852 0 D Common Stock 851852 0 I Through Versant Venture Capital I, L.P. Series B Convertible Preferred Stock 2015-06-30 4 C 0 18518 0 D Common Stock 18518 0 I Through Versant Affiliates Fund I-A, L.P. Series B Convertible Preferred Stock 2015-06-30 4 C 0 38888 0 D Common Stock 38888 0 I Through Versant Affiliates Fund I-B L.P. Series B Convertible Preferred Stock 2015-06-30 4 C 0 16666 0 D Common Stock 16666 0 I Through Versant Side Fund I, L.P. Series C Convertible Preferred Stock 2015-06-30 4 C 0 479714 0 D Common Stock 479714 0 I Through Versant Venture Capital I, L.P. Series C Convertible Preferred Stock 2015-06-30 4 C 0 10428 0 D Common Stock 10428 0 I Through Versant Affiliates Fund I-A, L.P. Series C Convertible Preferred Stock 2015-06-30 4 C 0 21900 0 D Common Stock 21900 0 I Through Versant Affiliates Fund I-B L.P. Series C Convertible Preferred Stock 2015-06-30 4 C 0 9386 0 D Common Stock 9386 0 I Through Versant Side Fund I, L.P. Series D Convertible Preferred Stock 2015-06-30 4 C 0 548464 0 D Common Stock 548464 0 I Through Versant Venture Capital I, L.P. Series D Convertible Preferred Stock 2015-06-30 4 C 0 11805 0 D Common Stock 11805 0 I Through Versant Affiliates Fund I-A, L.P. Series D Convertible Preferred Stock 2015-06-30 4 C 0 25226 0 D Common Stock 25226 0 I Through Versant Affiliates Fund I-B L.P. Series D Convertible Preferred Stock 2015-06-30 4 C 0 10791 0 D Common Stock 10791 0 I Through Versant Side Fund I, L.P. Series E Convertible Preferred Stock 2015-06-30 4 C 0 163592 0 D Common Stock 163592 0 I Through Versant Venture Capital I, L.P. Series E Convertible Preferred Stock 2015-06-30 4 C 0 3420 0 D Common Stock 3420 0 I Through Versant Affiliates Fund I-A, L.P. Series E Convertible Preferred Stock 2015-06-30 4 C 0 7684 0 D Common Stock 7684 0 I Through Versant Affiliates Fund I-B L.P. Series E Convertible Preferred Stock 2015-06-30 4 C 0 3271 0 D Common Stock 3271 0 I Through Versant Side Fund I, L.P. Series F Convertible Preferred Stock 2015-06-30 4 C 0 273337 0 D Common Stock 273337 0 I Through Versant Venture Capital I, L.P. Series F Convertible Preferred Stock 2015-06-30 4 C 0 5715 0 D Common Stock 5715 0 I Through Versant Affiliates Fund I-A, L.P. Series F Convertible Preferred Stock 2015-06-30 4 C 0 12840 0 D Common Stock 12840 0 I Through Versant Affiliates Fund I-B L.P. Series F Convertible Preferred Stock 2015-06-30 4 C 0 5465 0 D Common Stock 5465 0 I Through Versant Side Fund I, L.P. Series D Convertible Preferred Stock Warrant (right to buy) 7.65 2015-06-30 4 M 0 27612 0 D Common Stock 27612 0 I Through Versant Venture Capital I, L.P. Series D Convertible Preferred Stock Warrant (right to buy) 7.65 2015-06-30 4 M 0 577 0 D Common Stock 577 0 I Through Versant Affiliates Fund I-A,, L.P. Series D Convertible Preferred Stock Warrant (right to buy) 7.65 2015-06-30 4 M 0 1296 0 D Common Stock 1296 0 I Through Versant Affiliates Fund I-B L.P. Series D Convertible Preferred Stock Warrant (right to buy) 7.65 2015-06-30 4 M 0 552 0 D Common Stock 552 0 I Through Versant Side Fund I, L.P. The shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into shares of common stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering ("IPO") and had no expiration date. The warrants to acquire Series D Convertible Preferred Stock automatically net exercised immediately prior to consummation of the IPO at the IPO price per share and the shares of Series D Convertible Preferred Stock received thereupon automatically converted into shares of common stock as described in footnote (1). The shares are held by Versant Venture Capital I, L.P., a Delaware limited partnership ("VVC I"). Versant Ventures I, LLC, a Delaware limited liability company ("VV I") serves as the sole general partner of VVC I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VVC I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. The shares are held by Versant Affiliates Fund I-A, L.P., a Delaware limited partnership ("VAF I-A"). VV I serves as the sole general partner of VAF I-A. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-A; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. The shares are held by Versant Affiliates Fund I-B, L.P., a Delaware limited partnership ("VAF I-B"). VV I serves as the sole general partner of VAF I-B. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-B; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. The shares are held by Versant Side Fund I, L.P., a Delaware limited partnership ("VSF I"). VV I serves as the sole general partner of VSF I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VSF I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. Form 2 of 2 /s/ Robin L. Praeger, Attorney-in-Fact 2015-06-30