13D Filing: PTV Sciences II LP and Apollo Endosurgery Inc. (APEN)

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CUSIP No. 03767D 108
  1.

Name of
Reporting Persons.

PTV Sciences II, L.P.

  2.

Check the Appropriate Box if a Member
of a Group (See Instructions)

(a)  ☐        (b)  ☒ (1)

  3.

SEC USE ONLY

  4.

Source of Funds (See Instructions)

WC

  5.

Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)

  6.

Citizenship or Place of
Organization

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

  7.

Sole Voting Power

0

  8.

Shared Voting Power

5,419,372 (2)

  9.

Sole Dispositive Power

0

10.

Shared Dispositive Power

5,419,372 (2)

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

5,419,372 (2)

12.

Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)

13.

Percent of Class Represented by Amount
in Row (11)

31.4% (3)

14.

Type of Reporting Person (See
Instructions)

PN

(1) This Schedule 13D is filed by PTV Sciences II, L.P. (PTV II), PTV IV, L.P. (PTV IV), PTV Special Opportunities I, L.P. (PTV SO), PTV Evergreen Fund, L.P. (PTV EG), Pinto
Technology Ventures GP II, L.P. (PTV GP II), PTV GP IV, L.P.(PTV GP IV), PTV GP SO I, L.P. (PTV GP SO), PTV GP Evergreen, L.P. (PTV GP EG), Pinto TV GP Company LLC (PTV GP Management II),
PTV GP III Management, LLC (PTV GP Management IV), Matthew S. Crawford (Crawford) and Rick D. Anderson (Anderson, together with PTV II, PTV IV, PTV SO, PTV EG, PTV GP II, PTV GP IV, PTV GP SO, PTV GP EG, PTV GP
Management II, PTV GP Management IV and Crawford, the Reporting Persons). The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Includes 2,199,186 shares of Common Stock held by PTV II, 1,347,565 shares of Common Stock held by PTV IV, 605,712 shares held by PTV SO and 1,266,909 shares held by PTV EG. See Item 5 for discussion of voting and
dispositive power over shares held by PTV II, PTV IV, PTV SO and PTV EG.
(3) This percentage is calculated based upon an estimated 17,252,299 shares of the Issuers common stock outstanding as of July 26, 2017, as reported by the Issuer in the Form 10-Q filed with the SEC on
August 1, 2017.

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