SEC Form 4 · accession 0001688530-18-000002
Apollo Endosurgery, Inc. · APEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefanie L. Cavanaugh
Officer — CFO, Treasurer, Secretary
Period of report
Feb 28, 2018
Accepted (ET)
Mar 2, 2018 · 2:41 pm EST
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 | Feb 28, 2018 | A | 5,858 | $0.00 | A | 15,024 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $6.58 | Feb 28, 2018 | A | 32,438 | A | Feb 28, 2019 | Feb 28, 2028 | Common Stock | 32,438 | 32,438 | D |
Explanation of responses
- F1Represents grant of restricted stock units payable solely in common stock that vest in annual installments over four years from the grant date.
- F2The shares underlying the option shall vest as to 25% on the first anniversary of the grant date and the remainder will vest in equal month installments over the following three years.