Filing Details

Accession Number:
0001140361-21-034927
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-10-19 18:43:38
Reporting Period:
2021-10-15
Accepted Time:
2021-10-19 18:43:38
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
1372218 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 2021-10-15 38,710 $7.75 521,522 No 4 P Indirect By Curlew Fund, LP
Class A Common Stock Acquisiton 2021-10-15 258,064 $7.75 696,071 No 4 P Indirect By Killdeer Fund, LP
Class A Common Stock Acquisiton 2021-10-15 387,097 $7.75 2,151,209 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
  1. The Reporting Person is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). In such capacity, the Reporting Person may be deemed to exercise voting and investment control over the securities owned by each of the Funds. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its 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 (the "Exchange Act"), or for any other purpose.
  2. These shares were acquired in an underwritten registered follow-on offering by the Issuer that closed on October 15, 2021.
  3. This amount includes an aggregate 5,692 shares issued by the Issuer to the Curlew Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Curlew Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
  4. This amount includes an aggregate 22,763 shares issued by the Issuer to the Killdeer Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Killdeer Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
  5. This amount includes an aggregate 56,904 shares issued by the Issuer to the Roadrunner Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Roadrunner Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).