Sec Form 4 Filing - VERSANT VENTURES I LLC @ GLAUKOS Corp - 2015-06-30

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
VERSANT VENTURES I LLC
2. Issuer Name and Ticker or Trading Symbol
GLAUKOS Corp [ GKOS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O VERSANT VENTURES, ONE SANSOME STREET, SUITE 3630
3. Date of Earliest Transaction (MM/DD/YY)
06/30/2015
(Street)
SAN FRANCISCO, CA94104
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/30/2015 C 2,868,959 A 2,868,959 I Through Versant Venture Capital I, L.P. ( 3 )
Common Stock 06/30/2015 M( 2 ) 27,612 A 2,896,571 I Through Versant Venture Capital I, L.P. ( 3 )
Common Stock 06/30/2015 F( 2 ) 11,736 D $ 18 2,884,835 I Through Versant Venture Capital I, L.P. ( 3 )
Common Stock 06/30/2015 C 61,886 A 61,886 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Common Stock 06/30/2015 M( 2 ) 577 A 62,463 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Common Stock 06/30/2015 F( 2 ) 246 D $ 18 62,217 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Common Stock 06/30/2015 C 131,738 A 131,738 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Common Stock 06/30/2015 M( 2 ) 1,296 A 133,034 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Common Stock 06/30/2015 F( 2 ) 551 D $ 18 132,483 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Common Stock 06/30/2015 C 56,379 A 56,379 I Through Versant Side Fund I, L.P. ( 6 )
Common Stock 06/30/2015 M( 2 ) 552 A 56,931 I Through Versant Side Fund I, L.P. ( 6 )
Common Stock 06/30/2015 F( 2 ) 235 D $ 18 56,696 I Through Versant Side Fund I, L.P. ( 6 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Convertible Preferred Stock ( 1 ) 06/30/2015 C 552,000 ( 1 ) ( 1 ) Common Stock 552,000 $ 0 ( 1 ) 0 I Through Versant Venture Capital I, L.P. ( 3 )
Series A Convertible Preferred Stock ( 1 ) 06/30/2015 C 12,000 ( 1 ) ( 1 ) Common Stock 12,000 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Series A Convertible Preferred Stock ( 1 ) 06/30/2015 C 25,200 ( 1 ) ( 1 ) Common Stock 25,200 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Series A Convertible Preferred Stock ( 1 ) 06/30/2015 C 10,800 ( 1 ) ( 1 ) Common Stock 10,800 $ 0 ( 1 ) 0 I Through Versant Side Fund I, L.P. ( 6 )
Series B Convertible Preferred Stock ( 1 ) 06/30/2015 C 851,852 ( 1 ) ( 1 ) Common Stock 851,852 $ 0 ( 1 ) 0 I Through Versant Venture Capital I, L.P. ( 3 )
Series B Convertible Preferred Stock ( 1 ) 06/30/2015 C 18,518 ( 1 ) ( 1 ) Common Stock 18,518 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Series B Convertible Preferred Stock ( 1 ) 06/30/2015 C 38,888 ( 1 ) ( 1 ) Common Stock 38,888 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Series B Convertible Preferred Stock ( 1 ) 06/30/2015 C 16,666 ( 1 ) ( 1 ) Common Stock 16,666 $ 0 ( 1 ) 0 I Through Versant Side Fund I, L.P. ( 6 )
Series C Convertible Preferred Stock ( 1 ) 06/30/2015 C 479,714 ( 1 ) ( 1 ) Common Stock 479,714 $ 0 ( 1 ) 0 I Through Versant Venture Capital I, L.P. ( 3 )
Series C Convertible Preferred Stock ( 1 ) 06/30/2015 C 10,428 ( 1 ) ( 1 ) Common Stock 10,428 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Series C Convertible Preferred Stock ( 1 ) 06/30/2015 C 21,900 ( 1 ) ( 1 ) Common Stock 21,900 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Series C Convertible Preferred Stock ( 1 ) 06/30/2015 C 9,386 ( 1 ) ( 1 ) Common Stock 9,386 $ 0 ( 1 ) 0 I Through Versant Side Fund I, L.P. ( 6 )
Series D Convertible Preferred Stock ( 1 ) 06/30/2015 C 548,464 ( 1 ) ( 1 ) Common Stock 548,464 $ 0 ( 1 ) 0 I Through Versant Venture Capital I, L.P. ( 3 )
Series D Convertible Preferred Stock ( 1 ) 06/30/2015 C 11,805 ( 1 ) ( 1 ) Common Stock 11,805 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Series D Convertible Preferred Stock ( 1 ) 06/30/2015 C 25,226 ( 1 ) ( 1 ) Common Stock 25,226 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Series D Convertible Preferred Stock ( 1 ) 06/30/2015 C 10,791 ( 1 ) ( 1 ) Common Stock 10,791 $ 0 ( 1 ) 0 I Through Versant Side Fund I, L.P. ( 6 )
Series E Convertible Preferred Stock ( 1 ) 06/30/2015 C 163,592 ( 1 ) ( 1 ) Common Stock 163,592 $ 0 ( 1 ) 0 I Through Versant Venture Capital I, L.P. ( 3 )
Series E Convertible Preferred Stock ( 1 ) 06/30/2015 C 3,420 ( 1 ) ( 1 ) Common Stock 3,420 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Series E Convertible Preferred Stock ( 1 ) 06/30/2015 C 7,684 ( 1 ) ( 1 ) Common Stock 7,684 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Series E Convertible Preferred Stock ( 1 ) 06/30/2015 C 3,271 ( 1 ) ( 1 ) Common Stock 3,271 $ 0 ( 1 ) 0 I Through Versant Side Fund I, L.P. ( 6 )
Series F Convertible Preferred Stock ( 1 ) 06/30/2015 C 273,337 ( 1 ) ( 1 ) Common Stock 273,337 $ 0 ( 1 ) 0 I Through Versant Venture Capital I, L.P. ( 3 )
Series F Convertible Preferred Stock ( 1 ) 06/30/2015 C 5,715 ( 1 ) ( 1 ) Common Stock 5,715 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-A, L.P. ( 4 )
Series F Convertible Preferred Stock ( 1 ) 06/30/2015 C 12,840 ( 1 ) ( 1 ) Common Stock 12,840 $ 0 ( 1 ) 0 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Series F Convertible Preferred Stock ( 1 ) 06/30/2015 C 5,465 ( 1 ) ( 1 ) Common Stock 5,465 $ 0 ( 1 ) 0 I Through Versant Side Fund I, L.P. ( 6 )
Series D Convertible Preferred Stock Warrant (right to buy) $ 7.65 06/30/2015 M 27,612 ( 2 ) ( 2 ) Common Stock 27,612 $ 0 ( 2 ) 0 I Through Versant Venture Capital I, L.P. ( 3 )
Series D Convertible Preferred Stock Warrant (right to buy) $ 7.65 06/30/2015 M 577 ( 2 ) ( 2 ) Common Stock 577 $ 0 ( 2 ) 0 I Through Versant Affiliates Fund I-A,, L.P. ( 4 )
Series D Convertible Preferred Stock Warrant (right to buy) $ 7.65 06/30/2015 M 1,296 ( 2 ) ( 2 ) Common Stock 1,296 $ 0 ( 2 ) 0 I Through Versant Affiliates Fund I-B L.P. ( 5 )
Series D Convertible Preferred Stock Warrant (right to buy) $ 7.65 06/30/2015 M 552 ( 2 ) ( 2 ) Common Stock 552 $ 0 ( 2 ) 0 I Through Versant Side Fund I, L.P. ( 6 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
VERSANT VENTURES I LLC
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
VERSANT VENTURE CAPITAL I LP
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
VERSANT AFFILIATES FUND I-A LP
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
VERSANT AFFILIATES FUND I-B LP
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
VERSANT SIDE FUND I LP
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
ATWOOD BRIAN G
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
COLELLA SAMUEL D
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
JAFFE ROSS A MD
C/O VERSANT VENTURES
ONE SANSOME STREET, SUITE 3630
SAN FRANCISCO, CA94104
X
Signatures
/s/ Robin L. Praeger, Attorney-in-Fact 06/30/2015
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, 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 ("IPO") and had no expiration date.
( 2 )The warrants to acquire Series D Convertible Preferred Stock automatically net exercised immediately prior to consummation of the IPO at the IPO price per share and the shares of Series D Convertible Preferred Stock received thereupon automatically converted into shares of common stock as described in footnote (1).
( 3 )The shares are held by Versant Venture Capital I, L.P., a Delaware limited partnership ("VVC I"). Versant Ventures I, LLC, a Delaware limited liability company ("VV I") serves as the sole general partner of VVC I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VVC I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
( 4 )The shares are held by Versant Affiliates Fund I-A, L.P., a Delaware limited partnership ("VAF I-A"). VV I serves as the sole general partner of VAF I-A. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-A; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
( 5 )The shares are held by Versant Affiliates Fund I-B, L.P., a Delaware limited partnership ("VAF I-B"). VV I serves as the sole general partner of VAF I-B. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-B; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
( 6 )The shares are held by Versant Side Fund I, L.P., a Delaware limited partnership ("VSF I"). VV I serves as the sole general partner of VSF I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VSF I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.

Remarks:
Form 1 of 2

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