0001019056-21-000411.txt : 20210708
0001019056-21-000411.hdr.sgml : 20210708
20210708121847
ACCESSION NUMBER: 0001019056-21-000411
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210630
FILED AS OF DATE: 20210708
DATE AS OF CHANGE: 20210708
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: 211079539
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
2021-06-30
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
2021-06-30
2021-05-21
5
J
0
E
3337
0.00
A
413962
D
Common Stock, $0.001 par value per share
2021-06-30
2021-05-21
5
J
0
E
1001
0.00
A
85015
I
By Limited Partner of the Family Partnership
Common Stock, $0.001 par value per share
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
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.
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
2021-07-07