0001019056-21-000366.txt : 20210615 0001019056-21-000366.hdr.sgml : 20210615 20210615165701 ACCESSION NUMBER: 0001019056-21-000366 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210521 FILED AS OF DATE: 20210615 DATE AS OF CHANGE: 20210615 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: 211019213 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 2021-05-21 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 2021-05-21 2021-05-21 5 J 0 E 8045 0.00 A 410625 D Common Stock, $0.001 par value per share 2021-05-21 2021-05-21 5 J 0 E 1609 0.00 A 84014 I By Limited Partner of the Family Partnership Common Stock, $0.001 par value per share 2021-06-11 2021-06-11 4 X 0 128585 0.001 A 1329354 I By Managing Member as General Partner of Gagnon Investment Associates 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 26446 I By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Pre-funded warrants 0.001 2021-06-11 2021-06-11 4 X 0 128585 0 D Common Stock, $0.001 par value per share 128585 0 I As Managing Member of General Partner of Gagnon Investment Associates Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. These warrants were currently exercisable and did not have an expiration date. The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. /s/ Neil Gagnon 2021-06-15