SEC Form 4 · accession 0001179110-17-002720
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J. Gostout
Officer — Chief Medical Officer
Period of report
Feb 16, 2017
Accepted (ET)
Feb 17, 2017 · 6:37 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F2 | $11.76 | Feb 16, 2017 | A | 135,000 | A | Feb 2, 2018 | Feb 15, 2027 | Common Stock | 135,000 | 135,000 | D |
Explanation of responses
- F1Option is issued pursuant to the 2016 Equity Incentive Plan.
- F225% of the total number of Shares subject to the Option shall vest on the one-year anniversary of the Vesting Commencement Date of January 2, 2017, and 1/48 of the total number of Shares subject to the Option shall vest on each monthly anniversary of the Vesting Commencement Date thereafter, for so long as the recipient of the Option remains an employee, advisor or consultant to the Company.
Remarks
Exhibit Index: Exhibit 24 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the Reporting Person on January 26, 2017).