Filing Details

Accession Number:
0001104659-16-100505
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-02-26 15:41:24
Reporting Period:
2016-02-25
Filing Date:
2016-02-26
Accepted Time:
2016-02-26 15:41:24
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1192448 Glaukos Corp GKOS Surgical & Medical Instruments & Apparatus (3841) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1423641 Montreux Equity Partners Iv Lp C/O Montreux
One Ferry Building, Suite 255
San Francisco CA 94111
No No Yes No
1456152 Montreux Iv Associates, Llc C/O Montreux
One Ferry Building, Suite 255
San Francisco CA 94111
No No Yes No
1456154 Montreux Equity Management Iv, Llc C/O Montreux
One Ferry Building, Suite 255
San Francisco CA 94111
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2016-02-25 70,000 $16.16 3,209,812 No 4 S Indirect Through Montreux Equity Partners IV, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect Through Montreux Equity Partners IV, L.P.
Footnotes
  1. 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.
  2. 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.