Home > Insider Trading > Filing (0001179110-17-010722)

Filing Details

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
1445999	D Rick Anderson	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

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 Director of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV Evergreen Fund, LP.
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 Director 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.