SEC Form 4 · accession 0001179110-17-010716

Apollo Endosurgery, Inc. · APEN

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

Reporting owner

R Kent McGaughy Jr.

Director

Period of report

Jul 25, 2017

Accepted (ET)

Jul 26, 2017 · 6:02 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 Stock^F1,F6	Jul 25, 2017	P	8,986	$5.50	A	45,594	I	By Crested Crane, LP
Common Stock^F2,F6	Jul 25, 2017	P	80,276	$5.50	A	293,309	I	By Curlew Fund, LP
Common Stock^F3,F6	Jul 25, 2017	P	12,548	$5.50	A	63,671	I	By Kestrel Fund, LP
Common Stock^F4,F6	Jul 25, 2017	P	78,965	$5.50	A	400,675	I	By Mallard Fund, LP
Common Stock^F5,F6	Jul 25, 2017	P	273,770	$5.50	A	469,100	I	By Roadrunner Fund, LP

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Crested Crane, LP. The Reporting Person is a Managing Director of CPMG, Inc.
F2CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Curlew Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
F3CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Kestrel Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
F4CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Mallard Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
F5CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Roadrunner Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
F6The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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 December 29, 2016)