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Filing Details

Accession Number:: 0000899243-17-022521
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-09-25 15:15:55
Reporting Period:: 2017-09-05

Accepted Time:: 2017-09-25 15:15:55
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1251769	Apollo Endosurgery Inc.	APEN	Surgical & Medical Instruments & Apparatus (3841)	161630142

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1445999	D Rick Anderson	3600 N Capital Of Texas Hwy, Suite B180 Austin TX 78746		Yes	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-09-05	41,000	$4.04	1,131,909	No	4	P	Indirect	By PTV Evergreen Fund, L.P.
Common Stock	Acquisiton	2017-09-12	135,000	$3.85	1,266,909	No	4	P	Indirect	By PTV Evergreen Fund, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By PTV Evergreen Fund, L.P.
No	4	P	Indirect	By PTV Evergreen Fund, L.P.

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,199,186	Indirect	By PTV Sciences II, L.P.
Common Stock	1,347,565	Indirect	By PTV IV, L.P.
Common Stock	605,712	Indirect	By PTV Special Opportunities I, L.P.
Common Stock	45,454	Direct

Footnotes

These securities are owned by PTV Evergreen Fund, L.P. ("PTV EG"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP Evergreen, L.P. ("PTV GP EG"), which is the sole general partner of PTV EG. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV EG. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
These securities are owned by PTV Sciences II, L.P. ("PTV II"). Pinto TV GP Company LLC ("PTV GPC") is the sole general partner of Pinto Technology Ventures GP II, L.P. ("PTV GP II"), which is the sole general partner of PTV II. The managers of PTV GPC are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV II. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
These securities are owned by PTV IV, L.P. ("PTV IV"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP IV, L.P. ("PTV GP IV"), which is the sole general partner of PTV IV. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV IV. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
These securities are owned by PTV Special Opportunities I, L.P. ("PTV SO"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP SO I, L.P. ("PTV GP SO"), which is the sole general partner of PTV SO. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV SO. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.