0001140361-21-034925.txt : 20211019
0001140361-21-034925.hdr.sgml : 20211019
20211019184140
ACCESSION NUMBER: 0001140361-21-034925
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211015
FILED AS OF DATE: 20211019
DATE AS OF CHANGE: 20211019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: McGaughy R Kent Jr
CENTRAL INDEX KEY: 0001402856
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35706
FILM NUMBER: 211332251
MAIL ADDRESS:
STREET 1: 500 CRESCENT COURT
STREET 2: SUITE 250
CITY: DALLAS
STATE: TX
ZIP: 75201
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
form4.xml
FORM 4
X0306
4
2021-10-15
0001251769
Apollo Endosurgery, Inc.
APEN
0001402856
McGaughy R Kent Jr
C/O CPMG, INC.
2000 MCKINNEY, SUITE 2125
DALLAS
TX
75201
true
true
Class A common stock
2021-10-15
4
P
0
38710
7.75
A
521522
I
By Curlew Fund, LP
Class A common stock
2021-10-15
4
P
0
258064
7.75
A
696071
I
By Killdeer Fund, LP
Class A common stock
2021-10-15
4
P
0
387097
7.75
A
2151209
I
By Roadrunner Fund, LP
Class A common stock
45594
I
By Crested Crane, LP
Class A common stock
63671
I
By Kestrel Fund, LP
Class A common stock
400675
I
By Mallard Fund, LP
CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). The Reporting Person is the Managing Director of CPMG, Inc. In such capacity, the Reporting Person may be deemed to exercise voting and investment control over the securities owned by each of the Funds. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
These shares were acquired in an underwritten registered follow-on offering by the Issuer that closed on October 15, 2021.
This amount includes an aggregate 5,692 shares issued by the Issuer to the Curlew Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Curlew Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
This amount includes an aggregate 22,763 shares issued by the Issuer to the Killdeer Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Killdeer Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
This amount includes an aggregate 56,904 shares issued by the Issuer to the Roadrunner Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Roadrunner Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
/s/ R. Kent McGaughy, Jr.
2021-10-19