0001179110-16-033602.txt : 20161230
0001179110-16-033602.hdr.sgml : 20161230
20161230083316
ACCESSION NUMBER: 0001179110-16-033602
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161229
FILED AS OF DATE: 20161230
DATE AS OF CHANGE: 20161230
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LPATH, INC
CENTRAL INDEX KEY: 0001251769
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
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: 20051202
FORMER COMPANY:
FORMER CONFORMED NAME: NEIGHBORHOOD CONNECTIONS INC
DATE OF NAME CHANGE: 20040323
FORMER COMPANY:
FORMER CONFORMED NAME: JCG INC
DATE OF NAME CHANGE: 20030702
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: 162076381
MAIL ADDRESS:
STREET 1: 500 CRESCENT COURT
STREET 2: SUITE 250
CITY: DALLAS
STATE: TX
ZIP: 75201
4
1
edgar.xml
FORM 4 -
X0306
4
2016-12-29
0
0001251769
LPATH, INC
APEN
0001402856
McGaughy R Kent Jr
C/O CPMG, INC.
2000 MCKINNEY, SUITE 2125
DALLAS
TX
75201
1
0
0
0
Common Stock
2016-12-29
4
J
0
36608
A
36608
I
By Crested Crane, LP
Common Stock
2016-12-29
4
J
0
213033
A
213033
I
By Curlew Fund, LP
Common Stock
2016-12-29
4
J
0
51123
A
51123
I
By Kestrel Fund, LP
Common Stock
2016-12-29
4
J
0
321710
A
321710
I
By Mallard Fund, LP
Common Stock
2016-12-29
4
J
0
195330
A
195330
I
By Roadrunner Fund, LP
Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.
These securities are held in the name of Crested Crane, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Crested Crane, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Crested Crane, LP. The Reporting Person is a Managing Director of CPMG, Inc.
These securities are held in the name of Curlew Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Curlew Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Curlew Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
These securities are held in the name of Kestrel Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Kestrel Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Kestrel Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
These securities are held in the name of Mallard Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Mallard Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Mallard Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
These securities are held in the name of Roadrunner Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Roadrunner Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Roadrunner Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.
The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Exhibit Index: Exhibit 24 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the Reporting Person on December 29, 2016)
/s/ Brian Szymczak - Attorney-in-Fact
2016-12-30