0001179110-16-033605.txt : 20161230 0001179110-16-033605.hdr.sgml : 20161230 20161230083416 ACCESSION NUMBER: 0001179110-16-033605 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: Crawford Matthew S CENTRAL INDEX KEY: 0001373084 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 162076385 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 4 1 edgar.xml FORM 4 - X0306 4 2016-12-29 0 0001251769 LPATH, INC APEN 0001373084 Crawford Matthew S 3600 N CAPITAL OF TEXAS HWY SUITE B180 AUSTIN TX 78746 1 0 1 0 Common Stock 2016-12-29 4 J 0 1347565 A 1347565 I By PTV IV, L.P. Common Stock 2016-12-29 4 J 0 2199186 A 2199186 I By PTV Sciences II, L.P. Common Stock 2016-12-29 4 J 0 605712 A 605712 I By PTV Special Opportunities I, L.P. 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 PTV IV, L.P. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV IV, L.P. The Managing Directors of PTV Healthcare Capital have shared voting and investment control over the shares owned by PTV IV, L.P. The Reporting Person is a Managing Partner of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV IV, L.P. These securities are held in the name of PTV Sciences II, L.P. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV Sciences II, L.P. The Managing Directors of PTV Healthcare Capital have shared voting and investment control over the shares owned by PTV Sciences II, L.P. The Reporting Person is a Managing Partner of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV Sciences II, L.P. These securities are held in the name of PTV Special Opportunities I, L.P. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV Special Opportunities I, L.P. The Managing Directors of PTV Healthcare Capital have shared voting and investment control over the shares owned by PTV Special Opportunities I, L.P. The Reporting Person is a Managing Partner of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV Special Opportunities I, L.P. 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