0001104659-21-114673.txt : 20210910 0001104659-21-114673.hdr.sgml : 20210910 20210910161618 ACCESSION NUMBER: 0001104659-21-114673 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210908 FILED AS OF DATE: 20210910 DATE AS OF CHANGE: 20210910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kliman Gilbert H CENTRAL INDEX KEY: 0001293171 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 211247245 MAIL ADDRESS: STREET 1: C/O INTERWEST PARTNERS STREET 2: 467 FIRST STREET SUITE 201 CITY: LOS ALTOS STATE: CA ZIP: 94022 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: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 FORMER COMPANY: FORMER CONFORMED NAME: GLAUKOS CORP DATE OF NAME CHANGE: 20020925 4 1 tm2127285-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-09-08 0 0001192448 GLAUKOS Corp GKOS 0001293171 Kliman Gilbert H C/O GLAUKOS CORPORATION, 229 AVENIDA FABRICANTE SAN CLEMENTE CA 92672 1 0 0 0 Common Stock 2021-09-08 4 J 0 3900 0.00 D 4876 D Common Stock 2021-09-08 4 J 0 3900 0.00 A 12985 I By InterWest Venture Management Company Common Stock 333917 I InterWest Partners X, LP Common Stock 3362 I By InterWest Partners IX, LP The Reporting Person transferred these shares to InterWest Venture Management Company ("IVMC"), for no consideration, pursuant to an agreement between the Reporting Person and InterWest Partners X, LP ("IP10") relating to compensation received in connection with his service as a director of the Issuer. Includes 3,362 restricted stock units that have not yet vested or been delivered to the Reporting Person. Consists of shares owned by IVMC. The Reporting Person is an officer, director and the sole shareholder of IVMC and has sole voting and investment control over the shares held by IVMC. Consists of shares owned by IP10. The Reporting Person is a Managing Director of InterWest Management Partners X, LLC, the general partner of IP10. The Reporting Person has shared voting and investment control over shares owned by IP10, and disclaims beneficial ownership of those securities, except to the extent of his pecuniary interest therein. Consists of shares owned by InterWest Partners IX, LP ("IP9"). The Reporting Person is a Managing Director of InterWest Management Partners IX, LLC, the general partner of IP9. The Reporting Person has shared voting and investment control over shares owned by IP9, and disclaims beneficial ownership of those securities, except to the extent of his pecuniary interest therein. Diana Scherer, Attorney-in-Fact 2021-09-10