0000899243-17-022528.txt : 20170925 0000899243-17-022528.hdr.sgml : 20170925 20170925155007 ACCESSION NUMBER: 0000899243-17-022528 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170905 FILED AS OF DATE: 20170925 DATE AS OF CHANGE: 20170925 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV SCIENCES II L P CENTRAL INDEX KEY: 0001364349 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099798 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512 872 4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV Evergreen Fund, L.P. CENTRAL INDEX KEY: 0001713073 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099795 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY, SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: (512) 872-4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY, SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV GP Evergreen, L.P. CENTRAL INDEX KEY: 0001713074 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099791 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY, SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: (512) 872-4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY, SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV GP III Management, LLC CENTRAL INDEX KEY: 0001717889 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099789 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY, SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: (512) 872-4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY, SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV GP IV, L.P. CENTRAL INDEX KEY: 0001593758 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099793 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512 872 4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV GP SO I, L.P. CENTRAL INDEX KEY: 0001588123 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099792 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512 872 4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV IV, L.P. CENTRAL INDEX KEY: 0001593757 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099797 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512 872 4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PTV Special Opportunities I, L.P. CENTRAL INDEX KEY: 0001588122 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099796 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512 872 4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pinto Technology Ventures GP II, L.P. CENTRAL INDEX KEY: 0001392478 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099794 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512 872 4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pinto TV GP CO LLC CENTRAL INDEX KEY: 0001373072 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 171099790 BUSINESS ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512 872 4000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 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 doc4.xml FORM 4 SUBMISSION X0306 4 2017-09-05 0 0001251769 Apollo Endosurgery, Inc. APEN 0001364349 PTV SCIENCES II L P 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001593757 PTV IV, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001588122 PTV Special Opportunities I, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001713073 PTV Evergreen Fund, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001392478 Pinto Technology Ventures GP II, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001593758 PTV GP IV, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001588123 PTV GP SO I, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001713074 PTV GP Evergreen, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001373072 Pinto TV GP CO LLC 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001717889 PTV GP III Management, LLC 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 Common Stock 2017-09-05 4 P 0 41000 4.04 A 1131909 I By PTV Evergreen Fund, L.P. Common Stock 2017-09-12 4 P 0 135000 3.85 A 1266909 I By PTV Evergreen Fund, L.P. Common Stock 2199186 I By PTV Sciences II, L.P. Common Stock 1347565 I By PTV IV, L.P. Common Stock 605712 I By PTV Special Opportunities I, L.P. These securities are owned by PTV Evergreen Fund, L.P. ("PTV EG"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP Evergreen, L.P. ("PTV GP EG"), which is the sole general partner of PTV EG. Accordingly, PTV GP EG and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV EG. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV EG. Each of PTV GP EG and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. These securities are owned by PTV Sciences II, L.P. ("PTV II"). Pinto TV GP Company LLC ("PTV GPC") is the sole general partner of Pinto Technology Ventures GP II, L.P. ("PTV GP II"), which is the sole general partner of PTV II. Accordingly, PTV GP II and PTV GPC may be deemed to have voting and investment control over the shares owned by PTV II. The managers of PTV GPC are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV II. Each of PTV GP II and PTV GPC disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. These securities are owned by PTV IV, L.P. ("PTV IV"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP IV, L.P. ("PTV GP IV"), which is the sole general partner of PTV IV. Accordingly, PTV GP IV and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV IV. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV IV. Each of PTV GP IV and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. These securities are owned by PTV Special Opportunities I, L.P. ("PTV SO"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP SO I, L.P. ("PTV GP SO"), which is the sole general partner of PTV SO. Accordingly, PTV GP SO and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV SO. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV SO. Each of PTV GP SO and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Matthew S. Crawford and Rick D. Anderson are both directors of the Issuer and accordingly file separate Section 16 reports. PTV Sciences II, L.P., By: Pinto Technology Ventures GP II, L.P., its general partner, By: Pinto TV GP Company LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV IV, L.P., By: PTV GP IV, L.P., its general partner, By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV Special Opportunities I, L.P., By: PTV GP SO I, L.P., its general partner, By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV Evergreen Fund, L.P., By: PTV GP Evergreen, L.P., its general partner, By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 Pinto Technology Ventures GP II, L.P., By: Pinto TV GP Company LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP IV, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP SO I, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP Evergreen, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 Pinto TV GP Company LLC, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP III Management, LLC, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25