Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, DC 20549 |
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SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Glaukos Corporation
(Name of Issuer)
Common Stock
(Title of Class of Securities)
377322102
(CUSIP Number)
December 31, 2016
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
o |
Rule 13d-1(c) |
x |
Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 377322102 |
13 G |
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
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(b) |
x (1) | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row 9 | |||
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12. |
Type of Reporting Person (See Instructions) | |||
(1) This Schedule 13G is filed by Versant Venture Capital I, L.P. (VVC- I), Versant Side Fund I, L.P. (VSF-I), Versant Affiliates Fund I-A, L.P. (VAF-I-A), Versant Affiliates Fund I-B, L.P. (VAF-I-B) and Versant Ventures I, LLC (VVI-LLC) (collectively, the Versant Entities). The Versant Entities expressly disclaim status as a group for purposes of this Schedule 13G.
(2) The information with respect to the ownership of the Common Stock of the Issuer by the persons filing this statement on Schedule 13G is provided as of December 31, 2016.
(3) This percentage is calculated based upon 33,549,174 shares of the Issuers common stock outstanding as of November 10, 2016 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commission on November 14, 2016.
CUSIP No. 377322102 |
13 G |
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x (1) | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row 9 | |||
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12. |
Type of Reporting Person (See Instructions) | |||
(1) This Schedule 13G is filed by Versant Venture Capital I, L.P. (VVC- I), Versant Side Fund I, L.P. (VSF-I), Versant Affiliates Fund I-A, L.P. (VAF-I-A), Versant Affiliates Fund I-B, L.P. (VAF-I-B) and Versant Ventures I, LLC (VVI-LLC) (collectively, the Versant Entities). The Versant Entities expressly disclaim status as a group for purposes of this Schedule 13G.
(2) The information with respect to the ownership of the Common Stock of the Issuer by the persons filing this statement on Schedule 13G is provided as of December 31, 2016.
(3) This percentage is calculated based upon 33,549,174shares of the Issuers common stock outstanding as of November 10, 2016 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commission on November 14, 2016.
CUSIP No. 377322102 |
13 G |
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x (1) | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row 9 | |||
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12. |
Type of Reporting Person (See Instructions) | |||
(1) This Schedule 13G is filed by Versant Venture Capital I, L.P. (VVC- I), Versant Side Fund I, L.P. (VSF-I), Versant Affiliates Fund I-A, L.P. (VAF-I-A), Versant Affiliates Fund I-B, L.P. (VAF-I-B) and Versant Ventures I, LLC (VVI-LLC) (collectively, the Versant Entities). The Versant Entities expressly disclaim status as a group for purposes of this Schedule 13G.
(2) The information with respect to the ownership of the Common Stock of the Issuer by the persons filing this statement on Schedule 13G is provided as of December 31, 2016.
(3) This percentage is calculated based upon 33,549,174 shares of the Issuers common stock outstanding as of November 10, 2016 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commission on November 14, 2016.
CUSIP No. 377322102 |
13 G |
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1. |
Names of Reporting Persons | |||
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2. |
< font size="2" face="Times New Roman" style="font-size:10.0pt;">Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
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(b) |
x (1) | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row 9 | |||
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12. |
Type of Reporting Person (See Instructions) | |||
(1) This Schedule 13G is filed by Versant Venture Capital I, L.P. (VVC- I), Versant Side Fund I, L.P. (VSF-I), Versant Affiliates Fund I-A, L.P. (VAF-I-A), Versant Affiliates Fund I-B, L.P. (VAF-I-B), Versant Ventures I, LLC (VVI-LLC) (collectively, the Versant Entities). The Versant Entities expressly disclaim status as a group for purposes of this Schedule 13G.
(2) The information with respect to the ownership of the Common Stock of the Issuer by the persons filing this statement on Schedule 13G is provided as of December 31, 2016.
(3) This percentage is calculated based upon 33,549,174shares of the Issuers common stock outstanding as of November 10, 2016 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commission on November 14, 2016.
CUSIP No. 377322102 |
13 G |
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x (1) | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row 9 | |||
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12. |
Type of Reporting Person (See Instructions) | |||
(1) This Schedule 13G is filed by Versant Venture Capital I, L.P. (VVC- I), Versant Side Fund I, L.P. (VSF-I), Versant Affiliates Fund I-A, L.P. (VAF-I-A), Versant Affiliates Fund I-B, L.P. (VAF-I-B) and Versant Ventures I, LLC (VVI-LLC) (collectively, the Versant Entities). The Versant Entities expressly disclaim status as a group for purposes of this Schedule 13G.
(2) Includes: (i) 65,714 shares held by VVC-I; (ii) 1,286 shares held by VSF-I; (iii) 1,428 shares held by VAF-I-A; and (iv) 3,000 shares held by VAF-I-B. VVI-LLC serves as the general partner of VVC-I, VSF-I, VAF-I-A, and VAF-I-B and owns no securities of the Issuer directly. The information with respect to the ownership of the Common Stock of the Issuer by the persons filing this statement on Schedule 13G is provided as of December 31, 2016.
(3) ; This percentage is calculated based upon 33,549,174 shares of the Issuers common stock outstanding as of November 10, 2016 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commission on November 14, 2016.
Item 1(a). |
Name of Issuer: |
Item 1(b). |
Address of Issuers Principal Executive Offices |
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Item 2(a). |
Name of Person Filing: Versant Side Fund I, L.P. (VSF-I) Versant Affiliates Fund I-A, L.P. (VAF-I-A) Versant Affiliates Fund I-B, L.P. (VAF-I-B) Versant Ventures I, LLC (VVI-LLC) |
Item 2(b). |
Address of Principal Business Office or, if none, Residence: One Sansome Street, Suite 3630 San Francisco, CA 94104 |
Item 2(c). |
Citizenship: |
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Entities: |
VVC-I |
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Delaware |
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VSF-I |
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Delaware |
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VAF-I-A |
- |
Delaware |
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VAF-I-B |
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Delaware |
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VVI-LLC |
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Delaware |
Item 2(d). |
Title of Class of Securities: | |
Item 2(e). |
CUSIP Number: | |
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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: | |
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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. |
Versant |
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Shares Held |
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Sole Voting |
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Shared Voting |
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Sole Dispositive |
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Shared Dispositive |
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Beneficial |
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Percentage of Class |
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VVC-I |
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65,714 |
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65,714 |
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0 |
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65,714 |
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0 |
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65,714 |
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0.2 |
% |
VSF-I |
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1,286 |
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1,286 |
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0 |
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1,286 |
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0 |
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1,286 |
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0.1 |
% |
VAF-I-A |
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1,428 |
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1,428 |
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0 |
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1,428 |
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0 |
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1,428 |
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0.1 |
% |
VAF-I-B |
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3,000 |
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3,000 |
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0 |
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3,000 |
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0 |
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3,000 |
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0.1 |
% |
VVI-LLC |
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0 |
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0 |
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71,428 |
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0 |
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71,428 |
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71,428 |
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0.5 |
% |
(1) VVI-LLC serves as the general partner of VVC-I, VSF-I, VAF-I-A, and VAF-I-B and owns no securities of the Issuer directly.
(2) This percentage is calculated based upon 33,549,174shares of the Issuers common stock outstanding as of November 10, 2016 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commission on November 14, 2016.
Item 5. |
Ownership of 5 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 5 percent of the class of securities, check the following x. | |
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Item 6. |
Ownership of More than 5 Percent on Behalf of Another Person |
See Items 2(a) and 4. | |
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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 | |
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Item 8. |
Identification and Classification of Members of the Group |
Not applicable | |
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Item 9. |
Notice of Dissolution of a Group |
Not applicable | |
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Item 10. |
Certification |
Not applicable |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 14, 2017
Versant Affiliates Fund I-A, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Affiliates Fund I-B, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Side Fund I, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Venture Capital I, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Ventures I, LLC |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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EXHIBIT A
JOINT FILING STATEMENT
We, the undersigned, hereby express our agreement that the attached Schedule 13G (or any amendments thereto) related to the Common Stock of Glaukos Corporation is filed on behalf of each of us.
Dated: February 14, 2017
Versant Affiliates Fund I-A, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Affiliates Fund I-B, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Side Fund I, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Venture Capital I, L.P. |
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By: |
Versant Ventures I, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Ventures I, LLC |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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