Filing Details
- Accession Number:
- 0000905148-20-000826
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-21 18:40:52
- Reporting Period:
- 2020-07-17
- Accepted Time:
- 2020-07-21 18:40:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1251769 | Apollo Endosurgery Inc. | APEN | Surgical & Medical Instruments & Apparatus (3841) | 161630142 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1402856 | Jr Kent R Mcgaughy | C/O Cpmg, Inc. 2000 Mckinney Ave, Ste 2125 Dallas TX 75201 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-07-17 | 180,000 | $1.25 | 477,120 | No | 4 | P | Indirect | By Curlew Fund, LP |
| Class A Common Stock | Acquisiton | 2020-07-17 | 400,000 | $1.25 | 415,244 | No | 4 | P | Indirect | By Killdeer Fund, LP |
| Class A Common Stock | Acquisiton | 2020-07-17 | 1,200,000 | $1.25 | 1,707,208 | No | 4 | P | Indirect | By Roadrunner Fund, LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Curlew Fund, LP |
| No | 4 | P | Indirect | By Killdeer Fund, LP |
| No | 4 | P | Indirect | By Roadrunner Fund, LP |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 45,594 | Indirect | By Crested Crane, LP |
| Class A Common Stock | 63,671 | Indirect | By Kestrel Fund, LP |
| Class A Common Stock | 400,675 | Indirect | By Mallard Fund, LP |
Footnotes
- CPMG, Inc. and the Managing Director of CPMG, Inc. have shared voting and investment control over the securities owned by each of Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Killdeer Fund, LP, and Roadrunner Fund, LP (each, a "Fund"). The Reporting Person is the Managing Director of CPMG, Inc. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- These shares were acquired directly from the Issuer pursuant to a securities purchase agreement dated as of July 17, 2020.
Billionaire Hedge Funds
