SEC Form 4 · accession 0001251769-17-000039
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William D. McClellan Jr.
Director
Period of report
May 25, 2017
Accepted (ET)
May 30, 2017 · 5:53 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 | May 25, 2017 | A | 2,608 | $0.00 | A | 2,608 | D | |
| Common Stock | holding | — | — | — | 2,000 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $6.50 | May 25, 2017 | J | 4,844 | A | May 25, 2018 | May 25, 2027 | Common Stock | 4,844 | 4,844 | D |
Explanation of responses
- F1Fully vested at one year anniversary of grant date.