0001558370-18-000653.txt : 20180213 0001558370-18-000653.hdr.sgml : 20180213 20180213172424 ACCESSION NUMBER: 0001558370-18-000653 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 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: 18605017 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: Burns Thomas William CENTRAL INDEX KEY: 0001644557 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION, STREET 2: 26051 MERIT CIRCLE, SUITE 103 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 SC 13G/A 1 sc13ga.htm SC 13G/A gkos_Current_Folio_13G

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

(Amendment No. 2)*

Under the Securities Exchange Act of 1934

 

GLAUKOS CORPORATION

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

377322102

(CUSIP Number)

 

December 31, 2017

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d‑1(b)

Rule 13d‑1(c)

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 disclosures provided in a prior cover page.

The information required on 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

 

SCHEDULE 13G

Page 2 of 5 Pages

 

1

NAMES OF REPORTING PERSONS

Thomas W. Burns  

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ☐

(b)  ☐

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

5

SOLE VOTING POWER

2,214,915(1)

6

SHARED VOTING POWER

100,000(2)

7

SOLE DISPOSITIVE POWER

2,214,915(1) 

8

SHARED DISPOSITIVE POWER

100,000(2)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,314,915

10

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES   ☐

 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.4%(3)

12

TYPE OF REPORTING PERSON

IN


(1)

Consists of (i) 1,525,961 shares issuable upon the exercise of options that are currently exercisable or will vest and become exercisable within 60 days of December 31, 2017 (this includes 47,000 stock options that were exercised by Thomas W. Burns on January 26, 2018; the shares underlying such stock options are currently held by the Burns Family Trust),  (ii) 238,107 shares held by the Burns Annuity Trust as of December 31, 2017, of which Mr. Burns is a beneficiary and co-Trustee, (iii) 120,000 shares held by the Burns Charitable Remainder Trust as of December 31, 2017, of which Mr. Burns is a beneficiary and co-Trustee, (iv) 230,240 shares held by the Burns Family Trust as of December 31, 2017, of which Mr. Burns is a beneficiary and co-Trustee (this number does not include the 47,000 shares that were acquired by the Burns Family Trust on January 26, 2018 upon the exercise by Thomas W. Burns of an equal number of stock options), (v) 100,000 shares held by the Thomas W. Burns Irrevocable Trust as of December 31, 2017, of which Mr. Burns is a beneficiary and (vi) 607 shares held by Thomas W. Burns directly.

(2)

Represents 100,000 shares held by the Janet M. Burns Irrevocable Trust as of December 31, 2017, of which Mr. Burns is trustee and Mr. Burns’ spouse is a beneficiary.

(3)

Based upon 34,618,854 shares of Glaukos Corporation common stock outstanding at December 31, 2017.


 

 

 

 

 

CUSIP No.  377322102

 

SCHEDULE 13G

Page 3 of 5 Pages

 

Item 1(a)Name of Issuer:

Glaukos Corporation (“Issuer”)

Item 1(b)Address of Issuer’s Principal Executive Offices:

229 Avenida Fabricante, San Clemente, California 92672

Item 2(a)Name of Person Filing:

Thomas W. Burns

Item 2(b)Address of Principal Business Office or, If None, Residence

Same as Item 1(b)

Item 2(c)Citizenship

See Row 4 of cover page

Item 2(d)Title of Class of Securities:

Common stock,  $0.001 par value per share

Item 2(e)CUSIP Number:

377322102

Item 3.Statement Filed Pursuant to Rule 13d‑1(b) or 13d‑2(b) or (c):

Not applicable.

Item 4.Ownership

(a)

Amount Beneficially Owned: See Row 9 of cover page.

(b)

Percent of Class. See Row 11 of cover page.

(c)

Number of shares as to which the person has:

i.

Sole power to vote or to direct the vote: See Row 5 of cover page.

ii.

Shared power to vote or to direct the vote: See Row 6 of cover page.

iii.

Sole power to dispose of or to direct the disposition of: See Row 7 of cover page.

iv.

Shared power to dispose or to direct the disposition of: See Row 8 of cover page.

Item 5.Ownership of Five Percent or Less of a Class

Not applicable.

Item 6.Ownership of More than Five Percent on Behalf of Another Person

Not applicable.


 

 

 

 

 

CUSIP No.  377322102

 

SCHEDULE 13G

Page 4 of 5 Pages

 

Item 7.Identification and Classification of 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.


 

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 13, 2018

 

 

 

 

Thomas W. Burns

 

 

 

/s/ Thomas W. Burns