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

Name of
Reporting Persons.

PTV IV, L.P.

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

(a)  ☐        (b)  ☒ (1)

SEC USE ONLY

Source of Funds (See Instructions)

WC

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

Citizenship or Place of
Organization

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

Sole Voting Power

0

Shared Voting Power

5,419,372 (2)

Sole Dispositive Power

0

Shared Dispositive Power

5,419,372 (2)

Aggregate Amount Beneficially Owned by Each Reporting Person

5,419,372 (2)

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

Percent of Class Represented by Amount
in Row (11)

31.4% (3)

Type of Reporting Person (See
Instructions)

PN