0001209191-17-046365.txt : 20170726
0001209191-17-046365.hdr.sgml : 20170726
20170726192216
ACCESSION NUMBER: 0001209191-17-046365
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170724
FILED AS OF DATE: 20170726
DATE AS OF CHANGE: 20170726
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Novo Holdings A/S
CENTRAL INDEX KEY: 0001388325
STATE OF INCORPORATION: G7
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35706
FILM NUMBER: 17984066
BUSINESS ADDRESS:
STREET 1: TUBORG HAVNEVEJ 19
CITY: HELLERUP
STATE: G7
ZIP: 2900
BUSINESS PHONE: 45 8824 8824
MAIL ADDRESS:
STREET 1: TUBORG HAVNEVEJ 19
CITY: HELLERUP
STATE: G7
ZIP: 2900
FORMER NAME:
FORMER CONFORMED NAME: Novo A/S
DATE OF NAME CHANGE: 20070130
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Apollo Endosurgery, 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: 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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-07-24
1
0001251769
Apollo Endosurgery, Inc.
APEN
0001388325
Novo Holdings A/S
TUBORG HAVNEVEJ 19
HELLERUP
G7
2900
DENMARK
0
0
1
0
Common Stock
2017-07-24
4
S
0
17200
6.8336
D
1334772
D
Common Stock
2017-07-25
4
S
0
24504
6.9615
D
1310268
D
Common Stock
2017-07-26
4
S
0
8426
6.8411
D
1301842
D
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.4350, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7750 to $7.1600, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.1800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Novo Holdings A/S (formerly known as Novo A/S) is a Danish limited liability company. The board of directors of Novo Holdings A/S (the "Novo Board"), which is currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard, Lars Rebien Sorensen and Per Wold-Olsen, has shared investment and voting control over the securities of the Issuer held by Novo Holdings A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares.
/s/ Peter Haahr, Chief Financial Officer of Novo Holdings A/S
2017-07-26