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