SEC Form 4 · accession 0001179110-15-002337

Apollo Endosurgery, Inc. · APEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Senior Vice President and CFO

Period of report

Feb 9, 2015

Accepted (ET)

Feb 11, 2015 · 5:37 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^F1,F2	Feb 10, 2015	M	7,143	—	A	28,441	D
Common Stock^F3	Feb 10, 2015	F	2,500	$2.87	D	25,941	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4	$2.86	Feb 9, 2015	A	50,000	A	—	Feb 19, 2025	Common Stock	50,000	50,000	D
Restricted Stock Unit^F1,F2,F5	—	Feb 10, 2015	M	7,143	D	—	—	Common Stock	7,143	0	D

F1Represents a restricted stock unit previously reported as 50,000 shares as adjusted to reflect a 1-for-7 reverse stock split that occurred on October 8, 2012.
F2The restricted stock unit represented a right to receive shares of the Issuer's common stock, subject to vesting requirements, at no additional conversion or exercise price.
F3The shares were withheld at the election of the reporting person to satisfy the Issuer's minimum tax withholding obligations in connection with the vesting and delivery of restricted stock units granted in February 2010.
F425% of the option shares vest and become exercisable one year following the date of grant (Feburary 9, 2015) and the remaining shares will vest and become exercisable in 36 equal monthly installments thereafter.
F525% of the Restricted Stock Units vested one year following the date of grant (February 10, 2010) and the remaining shares vested in 12 equal quarterly installments thereafter. Vested shares were delivered to the reporting person on the fifth anniversary of the date of grant.