SEC Form 4 · accession 0001179110-15-013217
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel H Petree
Director
Period of report
Sep 9, 2015
Accepted (ET)
Sep 10, 2015 · 7:05 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,F2 | Sep 9, 2015 | M | 794 | — | A | 6,509 | D | |
| Common Stock | holding | — | — | — | 13,286 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | — | Sep 9, 2015 | M | 794 | D | — | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1Represents Restricted Stock Units previously reported as 5,556 shares as adjusted to reflect a 1-for-7 reverse stock split that occurred on October 8, 2012.
- F2The Restricted Stock Units represent a right to receive shares of Lpath, Inc. common stock, subject to vesting requirements, at no additional conversion or exercise price.
- F3The Restricted Stock Units are fully vested and were delivered to the reporting person on the fifth anniversary of the date of grant or upon an earlier termination of the reporting person's service to Lpath, disability, death or sale of Lpath.