13D Filing: PTV Sciences II LP and Apollo Endosurgery Inc. (APEN)

1.

Name of
Reporting Persons.

PTV Sciences II, L.P.

2.

Check the Appropriate Box if a Member
of a Group (See Instructions)

(a) ☐ (b) ☒ (1)

3.

SEC USE ONLY

4.

Source of Funds (See Instructions)

WC

5.

Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)

6.

Citizenship or Place of
Organization

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

7.

Sole Voting Power

0

8.

Shared Voting Power

5,419,372 (2)

9.

Sole Dispositive Power

0

10.

Shared Dispositive Power

5,419,372 (2)

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

5,419,372 (2)

12.

Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)

13.

Percent of Class Represented by Amount
in Row (11)

31.4% (3)

14.

Type of Reporting Person (See
Instructions)

PN

13D Filing: PTV Sciences II LP and Apollo Endosurgery Inc. (APEN)

Published on September 26, 2017 at 12:25 pm by Insider Monkey Staff in Hedge Funds

Page 2 of 21 – SEC Filing

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1.	Name of Reporting Persons. PTV Sciences II, L.P.
2.	Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒ (1)
3.	SEC USE ONLY
4.	Source of Funds (See Instructions) WC
5.	Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
6.	Citizenship or Place of Organization Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:		7.	Sole Voting Power 0
		8.	Shared Voting Power 5,419,372 (2)
		9.	Sole Dispositive Power 0
		10.	Shared Dispositive Power 5,419,372 (2)
11.	Aggregate Amount Beneficially Owned by Each Reporting Person 5,419,372 (2)
12.	Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
13.	Percent of Class Represented by Amount in Row (11) 31.4% (3)
14.	Type of Reporting Person (See Instructions) PN