0001019056-21-000245.txt : 20210413
0001019056-21-000245.hdr.sgml : 20210413
20210413160528
ACCESSION NUMBER: 0001019056-21-000245
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210405
FILED AS OF DATE: 20210413
DATE AS OF CHANGE: 20210413
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: 21823135
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
2021-04-05
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
2021-04-05
4
P
0
303
5.4834
A
402580
D
Common Stock, $0.001 par value per share
26446
I
By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
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
2021-04-13