SEC Form 4 · accession 0001251769-18-000086
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Ann Shimer
Director
Period of report
Aug 13, 2018
Accepted (ET)
Aug 15, 2018 · 4:07 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 SockF1 | Aug 13, 2018 | A | 2,357 | $0.00 | A | 2,357 | D |
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 | $7.75 | Aug 13, 2018 | A | 8,002 | A | Aug 13, 2019 | Aug 13, 2028 | Common Sock | 8,002 | 8,002 | D |
Explanation of responses
- F1Fully vested at one year anniversary of grant date.