0001104659-15-049031.txt : 20150630 0001104659-15-049031.hdr.sgml : 20150630 20150630192719 ACCESSION NUMBER: 0001104659-15-049031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 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: Pepper Douglas A CENTRAL INDEX KEY: 0001381839 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962803 MAIL ADDRESS: STREET 1: C/O INTERWEST PARTNERS STREET 2: 2710 SAND HILL ROAD, SECOND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kjellson Nina S CENTRAL INDEX KEY: 0001381980 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962805 MAIL ADDRESS: STREET 1: C/O INTERWEST PARTNERS STREET 2: 2710 SAND HILL ROAD, SECOND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CLEVELAND BRUCE A CENTRAL INDEX KEY: 0001333063 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962806 MAIL ADDRESS: STREET 1: 2207 BRIDGEPOINTE PARKWAY CITY: SAN MATEO STATE: CA ZIP: 94404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORONSKY ARNOLD L CENTRAL INDEX KEY: 0001207833 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962807 MAIL ADDRESS: STREET 1: C/O INTERWEST PARTNERS STREET 2: 2710 SAND HILL ROAD, 2ND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GIANOS PHILIP T CENTRAL INDEX KEY: 0001207831 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: InterWest Management Partners IX, LLC CENTRAL INDEX KEY: 0001398927 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962811 BUSINESS ADDRESS: STREET 1: 2710 SAND HILL ROAD STREET 2: SECOND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-8585 MAIL ADDRESS: STREET 1: 2710 SAND HILL ROAD STREET 2: SECOND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: InterWest Partners IX, LP CENTRAL INDEX KEY: 0001398928 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962810 BUSINESS ADDRESS: STREET 1: 2710 SAND HILL ROAD STREET 2: SECOND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-8585 MAIL ADDRESS: STREET 1: 2710 SAND HILL ROAD STREET 2: SECOND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NASR KHALED CENTRAL INDEX KEY: 0001276600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962804 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Holmes W Stephen CENTRAL INDEX KEY: 0001293923 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 15962808 MAIL ADDRESS: STREET 1: C/O INTERWEST PARTNERS STREET 2: 2710 SAND HILL ROAD, 2ND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 a4.xml 4 X0306 4 2015-06-30 1 0001192448 GLAUKOS Corp GKOS 0001398927 InterWest Management Partners IX, LLC C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001398928 InterWest Partners IX, LP C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001207831 GIANOS PHILIP T C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001293923 Holmes W Stephen C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001207833 ORONSKY ARNOLD L C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001333063 CLEVELAND BRUCE A C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001381980 Kjellson Nina S C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001276600 NASR KHALED C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 0001381839 Pepper Douglas A C/O INTERWEST PARTNERS 2710 SAND HILL ROAD, SUITE 200 MENLO PARK CA 94025 0 0 1 0 Common Stock 2015-06-30 4 C 0 2603362 A 2603362 I Through InterWest Partners IX, L.P. Series C Convertible Preferred Stock 2015-06-30 4 C 0 1523809 0 D Common Stock 1523809 0 I Through InterWest Partners IX, L.P. Series D Convertible Preferred Stock 2015-06-30 4 C 0 674510 0 D Common Stock 674510 0 I Through InterWest Partners IX, L.P. Series E Convertible Preferred Stock 2015-06-30 4 C 0 151653 0 D Common Stock 151653 0 I Through InterWest Partners IX, L.P. Series F Convertible Preferred Stock 2015-06-30 4 C 0 253390 0 D Common Stock 253390 0 I Through InterWest Partners IX, L.P. 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 and had no expiration date. Shares held by InterWest Partners IX, L.P., a California limited partnership ("IWP-9"). InterWest Management Partners IX, LLC, a California limited liability company ("IMP-9") serves as the sole general partner of IWP-9 and owns no shares directly. Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman, M.D. and Arnold L. Oronsky are the managing directors of IMP-9. Bruce A. Cleveland, Nina Kjellson, Khaled A. Nasr and Douglas A. Pepper are the venture members of IMP-9. These individuals share voting and dispositive power over the shares held by IWP-9; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. Gilbert H. Kliman, M.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. /s/ Katie A. Passalacqua, Attorney-in-Fact for InterWest Management Partners IX, LLC 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for InterWest Partners IX, L.P. 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for Philip T. Gianos 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for W. Stephen Holmes 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for Arnold L. Oronsky 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for Bruce A. Cleveland 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for Nina Kjellson 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for Khaled A. Nasr 2015-06-30 /s/ Katie A. Passalacqua, Attorney-in-Fact for Douglas A. Pepper 2015-06-30 EX-99 2 ex-99.htm EX-99

Exhibit 99

 

FORM 4 JOINT FILER INFORMATION

 

Name of “Reporting Persons”:

InterWest Partners IX, L.P. (“IW9”)

 

InterWest Management Partners IX, LLC (“IMP9”)

 

 

 

Bruce A. Cleveland

 

Philip T. Gianos

 

W. Stephen Holmes

 

Nina Kjellson

 

Arnold L. Oronsky

 

Khaled Nasr

 

Douglas A. Pepper

 

 

Address:

2710 Sand Hill Road, Suite 200

 

Menlo Park, CA 94025

 

 

Designated Filer:

InterWest Partners IX, L.P.

 

 

Issuer and Ticker Symbol:

Glaukos Corporation (“GKOS”)

 

 

Date of Event:

June 30, 2015

 

Each of the following is a Joint Filer with InterWest Partners IX L.P. (“IW9”) and may be deemed to share indirect beneficial ownership in the securities set forth on the attached Form 4:

 

InterWest Management Partners IX, LLC (“IMP9”) is the general partner of IW9 and has sole voting and investment control over the shares owned by IW9. Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman, and Arnold L. Oronsky are Managing Directors of IMP9 and, Bruce A. Cleveland, Nina Kjellson, Douglas A. Pepper and Khaled A. Nasr are Venture Members of IMP9. Gilbert H. Kliman, a Managing Director of IMP9 is also a Director of the Issuer, and has filed a separate Form 4 in his own name.

 

All Reporting Persons disclaim beneficial ownership of shares of Glaukos Corporation stock held by IW9, except to the extent of their respective pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934, or otherwise, any of the Reporting Persons are the beneficial owner of all of the equity securities covered by this statement.

 

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Each of the Reporting Persons listed above has designated InterWest Partners IX, L.P. as its designated filer of Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder.  Each Reporting Person has appointed InterWest Management Partners IX, LLC as its attorney in fact for the purpose of making reports relating to transaction in Glaukos Corporation Common Stock.

 

INTERWEST MANAGEMENT PARTNERS IX, L.L.C.

 

INTERWEST PARTNERS IX, LP

 

 

 

 

 

By:

InterWest Management Partners IX, LLC

By:

/s/ Katie A. Passalacqua

 

 

Its General Partner

 

Katie A. Passalacqua, Power of Attorney

 

 

 

 

 

 

 

 

 

 

By:

/s/ Katie A. Passalacqua

 

 

 

Katie A. Passalacqua, Power of Attorney

 

 

 

 

 

 

Bruce A. Cleveland, an individual

 

Arnold L. Oronsky, an individual

By:

InterWest Management Partners IX, LLC,

 

By:

InterWest Management Partners IX, LLC,

 

as Attorney-in-Fact

 

 

as Attorney-in-Fact

 

 

 

 

 

By:

/s/ Katie A. Passalacqua

 

By:

/s/ Katie A. Passalacqua

 

Katie A. Passalacqua, Power of Attorney

 

 

Katie A. Passalacqua, Power of Attorney

 

 

 

Philip T. Gianos, an individual

 

Khaled A. Nasr, an individual

By:

InterWest Management Partners IX, LLC,

 

By:

InterWest Management Partners IX, LLC,

 

as Attorney-in-Fact

 

 

as Attorney-in-Fact

 

 

 

 

 

By:

/s/ Katie A. Passalacqua

 

By:

/s/ Katie A. Passalacqua

 

Katie A. Passalacqua, Power of Attorney

 

 

Katie A. Passalacqua, Power of Attorney

 

 

 

W. Stephen Holmes, an individual

 

Douglas A. Pepper, an individual

By:

InterWest Management Partners IX, LLC,

 

By:

InterWest Management Partners IX, LLC,

 

as Attorney-in-Fact

 

 

as Attorney-in-Fact

 

 

 

 

 

By:

/s/ Katie A. Passalacqua

 

By:

/s/ Katie A. Passalacqua

 

Katie A. Passalacqua, Power of Attorney

 

 

Katie A. Passalacqua, Power of Attorney

 

 

 

Nina Kjellson, an individual

 

 

By:

InterWest Management Partners IX, LLC,

 

 

 

 

as Attorney-in-Fact

 

 

 

 

 

 

 

 

By:

/s/ Katie A. Passalacqua

 

 

 

 

Katie A. Passalacqua, Power of Attorney

 

 

 

 

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