0001019056-21-000153.txt : 20210222 0001019056-21-000153.hdr.sgml : 20210222 20210222160627 ACCESSION NUMBER: 0001019056-21-000153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210218 FILED AS OF DATE: 20210222 DATE AS OF CHANGE: 20210222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gagnon Neil CENTRAL INDEX KEY: 0001070170 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 21660272 MAIL ADDRESS: STREET 1: 1370 AVENUE OF THE AMERICAS STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER NAME: FORMER CONFORMED NAME: GAGNON NEIL DATE OF NAME CHANGE: 19980910 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Apollo Endosurgery, Inc. CENTRAL INDEX KEY: 0001251769 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 161630142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1120 SOUTH CAPITAL OF TX HWY STREET 2: BUILDING 1 SUITE 300 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512-279-5100 MAIL ADDRESS: STREET 1: 1120 SOUTH CAPITAL OF TX HWY STREET 2: BUILDING 1 SUITE 300 CITY: AUSTIN STATE: TX ZIP: 78746 FORMER COMPANY: FORMER CONFORMED NAME: LPATH, INC DATE OF NAME CHANGE: 20060316 FORMER COMPANY: FORMER CONFORMED NAME: LPATH INC DATE OF NAME CHANGE: 20051202 FORMER COMPANY: FORMER CONFORMED NAME: NEIGHBORHOOD CONNECTIONS INC DATE OF NAME CHANGE: 20040323 4 1 gagnon.xml FORM 4 X0306 4 2021-02-18 0 0001251769 Apollo Endosurgery, Inc. APEN 0001070170 Gagnon Neil 1370 AVENUE OF THE AMERICAS 24TH FLOOR NEW YORK NY 10019 0 0 1 0 Common Stock, $0.001 par value per share 2021-02-18 4 P 0 378 4.7484 A 22280 I By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Common Stock, $0.001 par value per share 2021-02-18 4 P 0 1649 4.7484 A 384119 D Common Stock, $0.001 par value per share 116360 I By Managing Member as General Partner of Darwin Partnership Common Stock, $0.001 par value per share 1200769 I By Managing Member as General Partner of Gagnon Investment Associates Common Stock, $0.001 par value per share 82405 I By Limited Partner of the Family Partnership /s/ Neil Gagnon 2021-02-22