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Filing Details

Accession Number:: 0001140361-21-034927
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-10-19 18:43:38
Reporting Period:: 2021-10-15

Accepted Time:: 2021-10-19 18:43:38
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
1372218	Cpmg Inc	2000 Mckinney Ave., Ste 2125 Dallas TX 75201		No	No	No	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
Class A Common Stock	Acquisiton	2021-10-15	38,710	$7.75	521,522	No	4	P	Indirect	By Curlew Fund, LP
Class A Common Stock	Acquisiton	2021-10-15	258,064	$7.75	696,071	No	4	P	Indirect	By Killdeer Fund, LP
Class A Common Stock	Acquisiton	2021-10-15	387,097	$7.75	2,151,209	No	4	P	Indirect	By Roadrunner Fund, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Curlew Fund, LP
No	4	P	Indirect	By Killdeer Fund, LP
No	4	P	Indirect	By Roadrunner Fund, LP

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	45,594	Indirect	By Crested Crane, LP
Class A Common Stock	63,671	Indirect	By Kestrel Fund, LP
Class A Common Stock	400,675	Indirect	By Mallard Fund, LP

Footnotes

The Reporting Person is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). In such capacity, the Reporting Person may be deemed to exercise voting and investment control over the securities owned by each of the Funds. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
These shares were acquired in an underwritten registered follow-on offering by the Issuer that closed on October 15, 2021.
This amount includes an aggregate 5,692 shares issued by the Issuer to the Curlew Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Curlew Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
This amount includes an aggregate 22,763 shares issued by the Issuer to the Killdeer Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Killdeer Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
This amount includes an aggregate 56,904 shares issued by the Issuer to the Roadrunner Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Roadrunner Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).