SEC Form 4 · accession 0001179110-17-010723
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Sciences Ii L P Ptv
10% Owner
Matthew S Crawford
Director
Rick D Anderson
Director
PTV Special Opportunities I, L.P.
10% Owner
PTV IV, L.P.
10% Owner
PTV Evergreen Fund, L.P.
10% Owner
Period of report
Jul 25, 2017
Accepted (ET)
Jul 26, 2017 · 7:27 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,F3 | Jul 25, 2017 | P | 1,090,909 | $5.50 | A | 5,243,372 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are held directly by PTV Evergreen Fund, LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV Evergreen Fund, LP. The Managing Directors of PTV Healthcare Capital have shared voting and investment control over the shares owned by PTV Evergreen Fund, LP.
- F2Includes (i) 1,347,565 shares of common stock held by PTV IV, L.P., (ii) 605,712 shares of common stock held by PTV Special Opportunities I, L.P., (iii) 2,199,186 shares of common stock held by PTV Sciences II, L.P., and (iv) 1,090,909 shares held by PTV Evergreen Fund LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV IV, L.P., PTV Special Opportunities I, L.P., PTV Sciences II, L.P., and PTV Evergreen Fund, LP.
- F3Matthew Crawford and Rick Anderson, both directors of the Issuer, are Managing Partner and Managing Director, respectively, of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV IV, L.P., PTV Sciences II, L.P., PTV Special Opportunities I, L.P., and PTV Evergreen Fund, LP. Messrs. Crawford and Anderson are both directors of the Issuer and, accordingly, file separate Section 16 reports.
Remarks
Exhibit Index: Exhibit 24.1 - Power of Attorney dated July 26, 2017 Exhibit 24.2 - 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)