SEC Form 4 · accession 0001251769-17-000042
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Meelia
Director
Period of report
Jul 30, 2012
Accepted (ET)
May 30, 2017 · 5:56 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 | 5,098 | $0.00 | A | 5,098 | D | |
| Common Stock | Dec 29, 2016 | J | 17,501 | $1.36 | A | 17,501 | I | by Corporation |
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) | $2.09 | Jul 30, 2012 | J | 9,202 | A | Aug 30, 2013 | Jul 30, 2022 | Common Stock | 9,202 | 9,202 | D |
| Non-Qualified Stock Option (right to buy) | $3.36 | Jul 8, 2014 | J | 5,751 | A | Jul 8, 2015 | Jul 8, 2024 | Common Stock | 5,751 | 5,751 | D |
| Non-Qualified Stock Option (right to buy)F1 | $6.50 | May 25, 2017 | J | 9,468 | A | May 25, 2018 | May 25, 2027 | Common Stock | 9,468 | 9,468 | D |
Explanation of responses
- F1Fully vested at one year anniversary of grant date.