Sec Form 13G Filing - MONTREUX EQUITY PARTNERS IV LP filing for GLAUKOS Corp (GKOS) - 2017-01-31

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

o

Rule 13d-1(b)

o

Rule 13d-1(c)

x

Rule 13d-1(d)

CUSIP No. 377322102

1.

Name of Reporting Person:
Montreux Equity Partners IV, L.P.

2.

Check the Appropriate Box if a Member of Group (See Instructions):

(a)

x

(b)

o

3.

SEC Use Only:

4.

Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5.

Sole Voting Power:
0

6.

Shared Voting Power:
0

7.

Sole Dispositive Power:
0

8.

Shared Dispositive Power:
0

9.

Aggregate Amount Beneficially Owned by Each Reporting Person:
0

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares:  o

11.

Percent of Class Represented by Amount in Row (9):
0%

12.

Type of Reporting Person:
PN

CUSIP No. 377322102

1.

Name of Reporting Person:
Montreux IV Associates, L.L.C.

2.

Check the Appropriate Box if a Member of Group (See Instructions):

(a)

x

(b)

o

3.

SEC Use Only:

4.

Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5.

Sole Voting Power:
0

6.

Shared Voting Power:
0

7.

Sole Dispositive Power:
0

8.

Shared Dispositive Power:
0

9.

Aggregate Amount Beneficially Owned by Each Reporting Person:
0

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares:  o

11.

Percent of Class Represented by Amount in Row (9):
0%

12.

Type of Reporting Person:
CO

CUSIP No. 377322102

1.

Name of Reporting Person:
Montreux Equity Management IV, LLC

2.

Check the Appropriate Box if a Member of Group (See Instructions):

(a)

o

(b)

o

3.

SEC Use Only:

4.

Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5.

Sole Voting Power:
0

6.

Shared Voting Power:
0

7.

Sole Dispositive Power:
0

8.

Shared Dispositive Power:
0

9.

Aggregate Amount Beneficially Owned by Each Reporting Person:
0

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares:  o

11.

Percent of Class Represented by Amount in Row (9):
0%

12.

Type of Reporting Person:
CO

Item 1.

(a)

Name of Issuer:
Glaukos Corporation

(b)

Address of Issuer’s Principal Executive Offices:
26051 Merit Circle, Suite 103

Laguna Hills, California 92653

Item 2.

(a)

Name of Person Filing:
Montreux Equity Partners IV, L.P. (“MEP IV”) is a California limited partnership whose principal business is making investments in the securities of other entities. Montreux IV Associates, L.L.C. (“Associates”) is a California limited liability company whose principal business is making investments in the securities of other entities.  Montreux Equity Management IV, LLC (“MEM IV”) is a California limited liability company, the sole general partner of MEP IV and the manager of Associates.

(b)

Address or Principal Business Office or, if none, Residence:
One Ferry Building

Suite 255

San Francisco, CA 94111

(c)

Citizenship or Place of Organization:
MEP IV, Associates and MEM IV: California.

(d)

Title of Class of Securities:
Common Stock

(e)

CUSIP Number:
377322102

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

Not applicable.

Item 4.

Ownership:

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a)

Amount Beneficially Owned

MEP IV

0

Associates

0

MEM IV

0

(1)

(b)

Percent of Class

MEP IV

0

%

Associates

0

%

MEM IV

0

%

(c)(i) 

Number of shares to which the person has sole power to vote or direct the vote

MEP IV

0

Associates

0

MEM IV

0

(c)(ii)

Number of shares to which the person has shared power to vote or direct the vote

MEP IV

0

Associates

0

MEM IV

0

(c)(iii)

Number of shares to which the person has sole power to dispose or direct the disposition of

MEP IV

0

Associates

0

MEM IV

0

(c)(iv)

Number of shares to which the person has shared power to dispose or direct the disposition of

MEP IV

0

Associates

0

MEM IV

0

(1)

MEM IV serves as investment manager to and general partner of MEP IV. By reason of such relationships, MEM IV may be deemed to share voting and dispositive power over the Common Stock listed as beneficially owned by MEP IV. Additionally, MEM IV serves as manager of Associates. By reason of this relationship, the MEM IV may also be deemed to share voting and dispositive power over the Common Stock listed as beneficially owned by Associates. MEM IV disclaims beneficial ownership of all of such shares.

Item 5.

Ownership of Five Percent or Less of a Class:

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x.

Item 6.

Ownership of More Than Five Percent on Behalf of Another Person:

Not applicable.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:

Not applicable.

Item 8.

Identification and Classification of Members of the Group:

Not applicable.

Item 9.

Notice of Dissolution of Group:

Not applicable.

Item 10.

Certifications:

Not applicable.

MONTREUX EQUITY PARTNERS IV, LP

By:

Montreux Equity Management IV, LLC, its General
Partner

By:

/s/ Daniel K. Turner III

Daniel K. Turner III, Managing Member

MONTREUX IV ASSOCIATES, LLC

By:

Montreux Equity Management IV, LLC, its General
Partner

By:

/s/ Daniel K. Turner III

Daniel K. Turner III, Managing Member

MONTREUX EQUITY MANAGEMENT IV, LLC

By:

/s/ Daniel K. Turner III

Daniel K. Turner III, Managing Member