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