Dear Valued Visitor,

We have noticed that you are using an ad blocker software.

Although advertisements on the web pages may degrade your experience, our business certainly depends on them and we can only keep providing you high-quality research based articles as long as we can display ads on our pages.

To view this article, you can disable your ad blocker and refresh this page or simply login.

We only allow registered users to use ad blockers. You can sign up for free by clicking here or you can login if you are already a member.

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

Page 2 of 21 – SEC Filing

CUSIP No. 03767D 108

Name of
Reporting Persons.

PTV Sciences II, L.P.


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

(a)  ☐        (b)  ☒ (1)




Source of Funds (See Instructions)



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


Citizenship or Place of


Number of



Owned by






Sole Voting Power



Shared Voting Power

5,419,372 (2)


Sole Dispositive Power



Shared Dispositive Power

5,419,372 (2)


Aggregate Amount Beneficially Owned by Each Reporting Person

5,419,372 (2)


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


Percent of Class Represented by Amount
in Row (11)

31.4% (3)


Type of Reporting Person (See


(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.

Page 2

Follow Apollo Endosurgery Inc. (NASDAQ:APEN)
Trade (NASDAQ:APEN) Now!

DOWNLOAD FREE REPORT: Warren Buffett's Best Stock Picks

Let Warren Buffett, George Soros, Steve Cohen, and Daniel Loeb WORK FOR YOU.

If you want to beat the low cost index funds by 19 percentage points per year, look no further than our monthly newsletter.In this free report you can find an in-depth analysis of the performance of Warren Buffett's entire historical stock picks. We uncovered Warren Buffett's Best Stock Picks and a way to for Buffett to improve his returns by more than 4 percentage points per year.

Bonus Biotech Stock Pick: You can also find a detailed bonus biotech stock pick that we expect to return more than 50% within 12 months.
Subscribe me to Insider Monkey's Free Daily Newsletter
This is a FREE report from Insider Monkey. Credit Card is NOT required.