SEC Form 4 · accession 0001140361-18-000522
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
STONEPINE CAPITAL, L.P.
10% Owner
Period of report
Dec 29, 2017
Accepted (ET)
Jan 3, 2018 · 5:33 pm EST
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 Stock | Dec 29, 2017 | P | 5,163 | $5.5621 | A | 2,560,314 | D | |
| Common Stock | Jan 2, 2018 | P | 11,343 | $5.7269 | A | 2,571,657 | D | |
| Common Stock | Jan 3, 2018 | P | 6,339 | $5.7826 | A | 2,577,996 | D |
Table II — derivative securities
No Table II lines on this filing.