Filing Details
- Accession Number:
- 0000899243-18-023626
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-31 12:31:03
- Reporting Period:
- 2018-08-29
- Accepted Time:
- 2018-08-31 12:31:03
- 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 |
|---|---|---|---|---|---|---|---|
| 1293171 | H Gilbert Kliman | C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025 | Yes | No | No | 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 | 2018-08-29 | 500,000 | $60.38 | 518,362 | No | 4 | S | Indirect | By InterWest Partners IX, LP |
| Common Stock | Disposition | 2018-08-29 | 515,000 | $0.00 | 3,362 | No | 4 | J | Indirect | By InterWest Partners IX, LP |
| Common Stock | Acquisiton | 2018-08-29 | 5,150 | $0.00 | 5,150 | No | 4 | J | Indirect | By InterWest Management Partners IX, LLC |
| Common Stock | Disposition | 2018-08-29 | 5,150 | $0.00 | 0 | No | 4 | J | Indirect | By InterWest Management Partners IX, LLC |
| Common Stock | Acquisiton | 2018-08-29 | 677 | $0.00 | 7,393 | No | 4 | J | Direct | |
| Common Stock | Disposition | 2018-08-30 | 2,760 | $62.39 | 4,633 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By InterWest Partners IX, LP |
| No | 4 | J | Indirect | By InterWest Partners IX, LP |
| No | 4 | J | Indirect | By InterWest Management Partners IX, LLC |
| No | 4 | J | Indirect | By InterWest Management Partners IX, LLC |
| No | 4 | J | Direct | |
| No | 4 | S | Direct |
Footnotes
- Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $59.33 to $61.50 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- Represents pro rata in-kind distribution by InterWest Partners IX, LP ("IP9") without consideration to its limited and general partners in accordance with the terms of the InterWest Partners IX, LP Limited Partnership Agreement. Includes 5,150 shares distributed to InterWest Management Partners IX, LLC ("IMP9") its general partner.
- Represents pro rata in-kind distribution by IMP9 without consideration to its members in accordance with the terms of the InterWest Management Partners IX, LLC Operating Agreement. Includes 677 shares distributed to Kliman.
- The shares are owned by IP9. The general partner of IP9 is IMP9. Oronsky, Kliman, and Nasr have shared voting and investment control over shares owned by IP9, and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein
- Includes 4,633 restricted stock units that have not yet vested or been delivered to the Reporting Person.
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