SEC Form 4 · accession 0001251769-17-000040
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bret Schwartzhoff
Officer — VP, US Sales & Marketing
Period of report
May 25, 2017
Accepted (ET)
May 30, 2017 · 5:55 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 | 6,131 | $0.00 | A | 6,131 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2 | $6.50 | May 25, 2017 | J | 15,495 | A | May 25, 2018 | May 25, 2027 | Common Stock | 15,495 | 15,495 | D |
| Incentive Stock Option (right to buy) | $3.36 | holding | — | — | — | Feb 25, 2016 | Feb 25, 2025 | Common Stock | 23,005 | 23,005 | D |
Explanation of responses
- F1Annual vesting over four years on anniversary of grant date.
- F2One year anniversary cliff vesting and monthly vesting over three years after.