SEC Form 4 · accession 0001179110-15-002385
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Mathews
Director
Period of report
Feb 10, 2015
Accepted (ET)
Feb 12, 2015 · 5:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001251769
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Feb 10, 2015 | A | 16,667 | A | — | — | Common Stock | 16,667 | 0 | D |
Explanation of responses
- F1The restricted stock units represent a right to receive shares of the Issuer's common stock, subject to vesting requirements, at no additional conversion or exercise price.
- F2The restricted stock units were granted to the Reporting Person pursuant to the Issuer's Amended and Restated 2005 Equity Incentive Plan. The restricted stock units will vest in 4 equal quarterly installment from the date of grant (February 10, 2015).