Filing Details

Accession Number:
0001179110-17-010721
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-26 18:38:37
Reporting Period:
2017-07-25
Filing Date:
2017-07-26
Accepted Time:
2017-07-26 18:38:37
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1251769 Apollo Endosurgery Inc. APEN Biological Products, (No Disgnostic Substances) (2836) 161630142
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1373084 S Matthew Crawford 3600 N Capital Of Texas Hwy
Suite B180
Austin TX 78746
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-07-25 45,454 $5.50 45,454 No 4 P Direct
Common Stock Acquisiton 2017-07-25 1,090,909 $5.50 1,090,909 No 4 P Indirect By PTV Evergreen Fund, LP.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect By PTV Evergreen Fund, LP.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,243,372 Indirect See footnote
Footnotes
  1. These securities are held in the name of PTV Evergreen Fund, LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV Evergreen Fund, LP. The Managing Directors of PTV Healthcare Capital have shared voting and investment control over the shares owned by PTV Evergreen Fund, LP. The Reporting Person is a Managing Partner of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV Evergreen Fund, LP.
  2. Includes (i) 1,347,565 shares of common stock held by PTV IV, L.P., (ii) 605,712 shares of common stock held by PTV Special Opportunities I, L.P., (iii) 2,199,186 shares of common stock held by PTV Sciences II, L.P., and (iv) 1,090,909 shares held by PTV Evergreen Fund, LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV IV, L.P., PTV Special Opportunities I, L.P., PTV Sciences II, L.P., and PTV Evergreen Fund, LP. The Reporting Person is a Managing Partner of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV IV, L.P., PTV Special Opportunities I, L.P., PTV Sciences II, L.P., and PTV Evergreen Fund, LP.