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