0001104659-16-100505.txt : 20160226 0001104659-16-100505.hdr.sgml : 20160226 20160226154124 ACCESSION NUMBER: 0001104659-16-100505 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160225 FILED AS OF DATE: 20160226 DATE AS OF CHANGE: 20160226 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: 161461282 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: 161461283 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: 161461284 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 2016-02-25 1 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 2016-02-25 4 S 0 70000 16.16 D 3209812 I Through Montreux Equity Partners IV, L.P. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.10 to $16.44, inclusive. The reporting person undertakes to provide to Glaukos Corporation, any security holder of Glaukos Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. 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''). Daniel K. Turner III is the sole managing member of MEM IV and shares voting and dispositive power over the shares held by MEP IV, MA IV and MEM IV; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interests therein. /s/ Daniel K. Turner III, Managing Director 2016-02-26