0001140361-22-047719.txt : 20221230
0001140361-22-047719.hdr.sgml : 20221230
20221230172551
ACCESSION NUMBER: 0001140361-22-047719
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221228
FILED AS OF DATE: 20221230
DATE AS OF CHANGE: 20221230
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: 221502662
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
X0306
4
2022-12-28
0001251769
Apollo Endosurgery, Inc.
APEN
0001402856
McGaughy R Kent Jr
4215 WEST LOVERS LN., STE 100
DALLAS
TX
75209
true
true
Class A common stock
2022-12-28
4
C
0
146577
3.25
A
675181
I
By Curlew Fund, LP
Class A common stock
2022-12-28
4
C
0
586308
3.25
A
1310701
I
By Killdeer Fund, LP
Class A common stock
2022-12-28
4
C
0
1465770
3.25
A
3687781
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
6.0% Convertible Debentures due 2026
3.25
2022-12-28
4
C
0
476375
0
D
2019-08-12
2026-08-12
Common Stock
146577
0
I
By Curlew Fund, LP
6.0% Convertible Debentures due 2026
3.25
2022-12-28
4
C
0
1905500
0
D
2019-08-12
2026-08-12
Common Stock
586308
0
I
By Killdeer Fund, LP
6.0% Convertible Debentures due 2026
3.25
2022-12-28
4
C
0
4763750
0
D
2019-08-12
2026-08-12
Common Stock
1465770
0
I
By Roadrunner 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"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4.
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.
On December 28, 2022 (the "Forced Conversion Date"), the Issuer notified the holders of its outstanding 6.0% Convertible Debentures due 2026 (the "Debentures") that it elected to cause the eligible portion of the aggregate principal amount of the Debentures outstanding to be converted into shares of the Issuer's common stock at the fixed conversion price of $3.25 per share and to issue shares of the Issuer's common stock to satisfy accrued but unpaid interest on the principal amount to be converted through the Forced Conversion Date.
This amount includes an aggregate 7,082 shares issued by the Issuer to the Curlew Fund, LP since the last Form 4 filed by the Reporting Person on October 19, 2021, including 5,661 shares paid in the semi-annual interest payments in January 2022 and in July 2022, and 1,421 shares paid on accrued but unpaid interest through the Forced Conversion Date, on the Debentures 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 28,322 shares issued by the Issuer to the Killdeer Fund, LP since the last Form 4 filed by the Reporting Person on October 19, 2021, including 22,640 shares paid in the semi-annual interest payments in January 2022 and in July 2022, and 5,682 shares paid on accrued but unpaid interest through the Forced Conversion Date, on the Debentures 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 70,802 shares issued by the Issuer to the Roadrunner Fund, LP since the last Form 4 filed by the Reporting Person on October 19, 2021, including 56,598 shares paid in the semi-annual interest payments in January 2022 and in July 2022, and 14,204 shares paid on accrued but unpaid interest through the Forced Conversion Date, on the Debentures 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.
2022-12-30