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