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Filing Details

Accession Number:: 0000947871-18-000220
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-03-06 19:36:22
Reporting Period:: 2018-03-02

Accepted Time:: 2018-03-06 19:36:22
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1192448	Glaukos Corp	GKOS	()	DE

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1055951	Orbimed Advisors Llc	601 Lexington Avenue, 54Th Floor New York NY 10022		Yes	No	No	No
1432241	Orbimed Capital Gp Iii Llc	601 Lexington Avenue, 54Th Floor New York NY 10022		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-02	265,766	$31.92	562,839	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-02	2,533	$31.92	5,362	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-02	194,433	$32.80	368,406	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-02	1,851	$32.80	3,511	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-05	128,092	$32.05	240,314	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-05	1,220	$32.05	2,291	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-05	80,516	$33.06	159,798	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-05	768	$33.06	1,523	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-06	93,008	$30.01	66,790	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-06	886	$30.01	637	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-06	20,114	$30.77	46,676	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-06	192	$30.77	445	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-06	46,676	$32.06	0	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2018-03-06	445	$32.06	0	No	4	S	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes

Footnotes

The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were sold in multiple transactions at prices ranging from $31.41 to $32.39 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $32.42 to $33.40 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $31.64 to $32.62 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $32.64 to $33.39 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $29.48 to $30.47 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $30.48 to $31.47 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $31.49 to $32.46 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
These Shares are held of record by OrbiMed Private Investments III, LP ("OPI III"). OrbiMed Capital GP III LLC ("GP III") is the general partner of OPI III, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP III. By virtue of such relationships, GP III and Advisors may be deemed to have voting and investment power over the securities held by OPI III and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI III.
These Shares are held of record by OrbiMed Associates III, LP ("Associates III"). Advisors is the general partner of Associates III. By virtue of such relationships, Advisors may be deemed to have voting and investment power over the securities held by Associates III and as a result may be deemed to have beneficial ownership over such securities. Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by Associates III.
Samuel D. Isaly, who was included as a Reporting Person on previous reports under Section 16 of the Exchange Act filed by GP III and Advisors, is no longer subject to Section 16 with respect to securities of the Issuer.
This report on Form 4 is jointly filed by GP III and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of the Exchange Act, except to the extent of its pecuniary interest therein, if any. The Reporting Persons have designated a representative, currently Jonathan T. Silverstein, a member of Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.