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Filing Details

Accession Number:: 0001251769-21-000107
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2021-08-20 20:55:06
Reporting Period:: 2021-08-18

Accepted Time:: 2021-08-20 20:55:06
Original Submission Date:: 2021-08-20
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
1631746	Chas Mckhann	1120 S. Capital Of Texas Highway Building One, Suite 300 Austin TX 78746	President And Ceo	Yes	Yes	No	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
Common Stock	Disposition	2021-08-18	21,156	$8.21	686,122	No	4	S	Direct
Common Stock	Disposition	2021-08-19	21,148	$7.89	664,974	No	4	S	Direct
Common Stock	Disposition	2021-08-20	21,148	$7.74	643,826	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Footnotes

On March 10, 2021, the holder was granted 707,278 performance-based restricted stock units ("RSUs"), as previously reported on a Form 4 filed on March 12, 2021. One-quarter (25%) of these RSUs vested upon the Company's achievement of at least $50 million of revenue for the trailing four quarters ended June 30, 2021. Amounts reported represent shares sold by the holder solely to satisfy the holder's tax withholding obligation due in connection with the vesting and settlement of this tranche of the RSUs.
Represents weighted average price of shares sold. Prices ranged between $8.02 - $8.55, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Represents weighted average price of shares sold. Prices ranged between $7.68 - $8.15, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Represents weighted average price of shares sold. Prices ranged between $7.59 - $8.09, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.