0000899243-17-027685.txt : 20171130
0000899243-17-027685.hdr.sgml : 20171130
20171130165602
ACCESSION NUMBER: 0000899243-17-027685
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171115
FILED AS OF DATE: 20171130
DATE AS OF CHANGE: 20171130
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: 171231764
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: 171231762
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: 171231758
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: 171231756
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: 171231760
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: 171231759
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: 171231755
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: 171231763
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: 171231761
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: 171231757
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
2017-11-15
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
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
0001593757
PTV IV, L.P.
3600 N CAPITAL OF TEXAS HWY, SUITE B180
AUSTIN
TX
78746
0
0
1
0
Common Stock
2017-11-15
4
J
0
1266909
D
0
I
By PTV Evergreen Fund, L.P.
Common Stock
2017-11-15
4
J
0
12669
A
12669
I
By PTV GP Evergreen, L.P.
Common Stock
2017-11-15
4
J
0
12669
D
0
I
By PTV GP Evergreen, 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.
Represents in-kind distribution by PTV Evergreen Fund, L.P. to its partners (including PTV GP Evergreen, L.P.) without consideration.
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 its pecuniary interest therein.
These securities are owned by PTV GP EG. PTV GPM is the sole general partner of PTV GP EG. Accordingly, PTV GPM may be deemed to have voting and investment control over the shares owned by PTV GP 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 GP EG. PTV GPM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.
Represents in-kind distribution by PTV GP EG to its partners without consideration.
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 its 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. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. Each of PTV GP IV and PTV GPM disclaims beneficial ownership of such shares except to the extent of its 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. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. Each of PTV GP SO and PTV GPM disclaims beneficial ownership of such shares except to the extent of its 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
2017-11-30
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
2017-11-30
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
2017-11-30
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
2017-11-30
Pinto Technology Ventures GP II, L.P., By: Pinto TV GP Company LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager
2017-11-30
PTV GP IV, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager
2017-11-30
PTV GP SO I, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager
2017-11-30
PTV GP Evergreen, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager
2017-11-30
Pinto TV GP Company LLC, By: /s/ Matthew S. Crawford, Its: Manager
2017-11-30
PTV GP III Management, LLC, By: /s/ Matthew S. Crawford, Its: Manager
2017-11-30