0001104659-17-005370.txt : 20170131 0001104659-17-005370.hdr.sgml : 20170131 20170131164559 ACCESSION NUMBER: 0001104659-17-005370 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170131 DATE AS OF CHANGE: 20170131 GROUP MEMBERS: MONTREUX EQUITY MANAGEMENT IV, LLC GROUP MEMBERS: MONTREUX IV ASSOCIATES, L.L.C. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GLAUKOS Corp CENTRAL INDEX KEY: 0001192448 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-89252 FILM NUMBER: 17561684 BUSINESS ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 FORMER COMPANY: FORMER CONFORMED NAME: GLAUKOS CORP DATE OF NAME CHANGE: 20020925 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MONTREUX EQUITY PARTNERS IV LP CENTRAL INDEX KEY: 0001423641 IRS NUMBER: 000000000 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE FERRY BUILDING, STREET 2: SUITE 255 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 650-234-1200 MAIL ADDRESS: STREET 1: ONE FERRY BUILDING, STREET 2: SUITE 255 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G/A 1 a17-3410_1sc13ga.htm SC 13G/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

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 person’s 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).

 


 

SCHEDULE 13G

 

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

 

2


 

SCHEDULE 13G

 

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

 

3


 

SCHEDULE 13G

 

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

 

4


 

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.

 

5


 

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.

 

6


 

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.

 

7


 

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: January 31, 2017

 

 

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

 

Signature Page to Schedule 13G

Issuer: Glaukos Corporation

 

8