0001104659-15-048956.txt : 20150630 0001104659-15-048956.hdr.sgml : 20150630 20150630174834 ACCESSION NUMBER: 0001104659-15-048956 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: Montreux IV Associates, LLC CENTRAL INDEX KEY: 0001456152 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962429 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BUILDING 1, SUITE 260 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-234-1200 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BUILDING 1, SUITE 260 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Montreux Equity Management IV, LLC CENTRAL INDEX KEY: 0001456154 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962430 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BUILDING 1, SUITE 260 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-234-1200 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BUILDING 1, SUITE 260 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MONTREUX EQUITY PARTNERS IV LP CENTRAL INDEX KEY: 0001423641 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962431 BUSINESS ADDRESS: STREET 1: ONE FERRY BUILDING, STREET 2: SUITE 255 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 650-234-1200 MAIL ADDRESS: STREET 1: ONE FERRY BUILDING, STREET 2: SUITE 255 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 4 1 a4.xml 4 X0306 4 2015-06-30 0 0001192448 GLAUKOS Corp GKOS 0001423641 MONTREUX EQUITY PARTNERS IV LP C/O MONTREUX ONE FERRY BUILDING, SUITE 255 SAN FRANCISCO CA 94111 0 0 1 0 0001456154 Montreux Equity Management IV, LLC C/O MONTREUX ONE FERRY BUILDING, SUITE 255 SAN FRANCISCO CA 94111 0 0 1 0 0001456152 Montreux IV Associates, LLC C/O MONTREUX ONE FERRY BUILDING, SUITE 255 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2015-06-30 4 C 0 3118406 A 3118406 I Through Montreux Equity Partners IV, L.P. Common Stock 2015-06-30 4 C 0 161406 A 161406 I Through Montreux IV Associates, LLC Series C Convertible Preferred Stock 2015-06-30 4 C 0 1415449 0 D Common Stock 1415449 0 I Through Montreux Equity Partners IV, L.P. Series C Convertible Preferred Stock 2015-06-30 4 C 0 108360 0 D Common Stock 108360 0 I Through Montreux IV Associates, LLC Series D Convertible Preferred Stock 2015-06-30 4 C 0 630788 0 D Common Stock 630788 0 I Through Montreux Equity Partners IV, L.P. Series D Convertible Preferred Stock 2015-06-30 4 C 0 37186 0 D Common Stock 37186 0 I Through Montreux IV Associates, LLC Series E Convertible Preferred Stock 2015-06-30 4 C 0 288429 0 D Common Stock 288429 0 I Through Montreux Equity Partners IV, L.P. Series F Convertible Preferred Stock 2015-06-30 4 C 0 783740 0 D Common Stock 783740 0 I Through Montreux Equity Partners IV, L.P. Series F Convertible Preferred Stock 2015-06-30 4 C 0 15860 0 D Common Stock 15860 0 I Through Montreux IV Associates, LLC The shares of 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. Montreux Equity Management IV, LLC, a California limited liability company (''MEM IV'') serves as the sole general partner of Montreux Equity Partners IV, L.P., a California limited partnership (''MEP IV'') and as manager of Montreux IV Associates, LLC, a California limited liability company (''MA IV''). John Savarese, M.D., Howard D. Palefsky and Daniel K. Turner III are directors and/or members of MEM IV and share voting and dispositive power over the shares held by MEP IV, MA IV and MEM IV; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. /s/ Daniel K. Turner III, Managing Director 2015-06-30