SEC Form 4 · accession 0000899243-17-022528
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Sciences Ii L P Ptv
10% Owner
Pinto TV GP CO LLC
10% Owner
PTV Special Opportunities I, L.P.
10% Owner
PTV GP SO I, L.P.
10% Owner
PTV IV, L.P.
10% Owner
PTV GP IV, L.P.
10% Owner
PTV Evergreen Fund, L.P.
10% Owner
PTV GP Evergreen, L.P.
10% Owner
PTV GP III Management, LLC
10% Owner
Period of report
Sep 5, 2017
Accepted (ET)
Sep 25, 2017 · 3:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001251769
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 5, 2017 | P | 41,000 | $4.04 | A | 1,131,909 | I | By PTV Evergreen Fund, L.P. |
| Common StockF1 | Sep 12, 2017 | P | 135,000 | $3.85 | A | 1,266,909 | I | By PTV Evergreen Fund, L.P. |
| Common StockF2 | holding | — | — | — | 2,199,186 | I | By PTV Sciences II, L.P. | |
| Common StockF3 | holding | — | — | — | 1,347,565 | I | By PTV IV, L.P. | |
| Common StockF4 | holding | — | — | — | 605,712 | I | By PTV Special Opportunities I, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are owned by PTV Evergreen Fund, L.P. ("PTV EG"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP Evergreen, L.P. ("PTV GP EG"), which is the sole general partner of PTV EG. Accordingly, PTV GP EG and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV EG. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV EG. Each of PTV GP EG and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F2These securities are owned by PTV Sciences II, L.P. ("PTV II"). Pinto TV GP Company LLC ("PTV GPC") is the sole general partner of Pinto Technology Ventures GP II, L.P. ("PTV GP II"), which is the sole general partner of PTV II. Accordingly, PTV GP II and PTV GPC may be deemed to have voting and investment control over the shares owned by PTV II. The managers of PTV GPC are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV II. Each of PTV GP II and PTV GPC disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F3These securities are owned by PTV IV, L.P. ("PTV IV"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP IV, L.P. ("PTV GP IV"), which is the sole general partner of PTV IV. Accordingly, PTV GP IV and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV IV. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV IV. Each of PTV GP IV and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F4These securities are owned by PTV Special Opportunities I, L.P. ("PTV SO"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP SO I, L.P. ("PTV GP SO"), which is the sole general partner of PTV SO. Accordingly, PTV GP SO and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV SO. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV SO. Each of PTV GP SO and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Remarks
Matthew S. Crawford and Rick D. Anderson are both directors of the Issuer and accordingly file separate Section 16 reports.