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Home > Insider Trading > Filing (0001019056-20-000640)

Filing Details

Accession Number:: 0001019056-20-000640
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-17 18:49:52
Reporting Period:: 2020-10-28

Accepted Time:: 2020-12-17 18:49:52
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1251769	Apollo Endosurgery Inc.	APEN	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1070170	Neil Gagnon	1370 Avenue Of The Americas 24Th Floor New York NY 10019		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, $0.001 Par Value Per Share	Acquisiton	2020-10-28	693	$1.65	52,027	No	4	S	Indirect	By Managing Member as General Partner of Darwin Partnership
Common Stock, $0.001 Par Value Per Share	Acquisiton	2020-10-28	9,663	$1.65	1,200,769	No	4	S	Indirect	By Managing Member as General Partner of Gagnon Investment Associates
Common Stock, $0.001 Par Value Per Share	Acquisiton	2020-12-16	2,488	$4.16	14,656	No	4	S	Indirect	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
Common Stock, $0.001 Par Value Per Share	Acquisiton	2020-12-16	8,314	$4.16	351,043	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Managing Member as General Partner of Darwin Partnership
No	4	S	Indirect	By Managing Member as General Partner of Gagnon Investment Associates
No	4	S	Indirect	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, $0.001 Par Value Per Share	82,405	Indirect	By Limited Partner of the Family Partnership