Filing Details

Accession Number:
0001019056-21-000069
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-02-05 16:31:15
Reporting Period:
2021-02-03
Accepted Time:
2021-02-05 16:31:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1251769 Apollo Endosurgery Inc. APEN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1070170 Neil Gagnon 1370 Avenue Of The Americas
24Th Floor
New York NY 10019
No 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, $0.001 Par Value Per Share Acquisiton 2021-02-03 145 $4.49 14,801 No 4 P Indirect By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
Common Stock, $0.001 Par Value Per Share Acquisiton 2021-02-03 28,243 $4.46 91,143 No 4 P Indirect By Managing Member as General Partner of Darwin Partnership
Common Stock, $0.001 Par Value Per Share Acquisiton 2021-02-04 9,729 $4.71 100,872 No 4 P Indirect By Managing Member as General Partner of Darwin Partnership
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
No 4 P Indirect By Managing Member as General Partner of Darwin Partnership
No 4 P Indirect By Managing Member as General Partner of Darwin Partnership
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.001 Par Value Per Share 351,516 Direct
Common Stock, $0.001 Par Value Per Share 1,200,769 Indirect By Managing Member as General Partner of Gagnon Investment Associates
Common Stock, $0.001 Par Value Per Share 82,405 Indirect By Limited Partner of the Family Partnership