0001251769-19-000070.txt : 20190814
0001251769-19-000070.hdr.sgml : 20190814
20190814170308
ACCESSION NUMBER: 0001251769-19-000070
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190812
FILED AS OF DATE: 20190814
DATE AS OF CHANGE: 20190814
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cavanaugh Stefanie L.
CENTRAL INDEX KEY: 0001688530
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35706
FILM NUMBER: 191027431
MAIL ADDRESS:
STREET 1: 1120 S CAPITAL OF TX HWY
STREET 2: BLDG 1, STE 300
CITY: AUSTIN
STATE: TX
ZIP: 78746
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Apollo Endosurgery, Inc.
CENTRAL INDEX KEY: 0001251769
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
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
wf-form4_156581657287640.xml
FORM 4
X0306
4
2019-08-12
0
0001251769
Apollo Endosurgery, Inc.
APEN
0001688530
Cavanaugh Stefanie L.
1120 SOUTH CAPITAL OF TEXAS HIGHWAY
BUILDING ONE, STE 300
AUSTIN
TX
78746
0
1
0
0
CFO, Treasurer, Secretary
6.0% Convertible Debentures due 2024
3.25
2019-08-12
4
P
0
25000
25000
A
2019-08-12
2024-08-12
Common Sock
7693.0
25000
D
Pursuant to a securities purchase agreement (the "Purchase Agreement"), dated as of August 7, 2019, the Issuer issued and sold $20.0 million aggregate principal amount of 6.0% Convertible Debentures (the "Notes") to certain purchasers. The Notes are initially convertible into shares of the Issuer's common stock, par value $0.001 per share, subject to certain adjustments.
Interest on the Notes is payable semi-annually in shares of the Issuer's common stock on January 1 and July 1 of each year, beginning on January 1, 2020, at a rate of 6.00% per year and based on the average volume-weighted average price, or VWAP, of the Issuer's common stock for the 10 consecutive trading days immediately preceding the applicable interest payment date. However, interest will be paid in-kind on such interest payments dates if (i) the average VWAP of the Issuer's common stock for the 10 consecutive trading days immediately preceding such interest payment date is less than $2.50 per share, or (ii) the Issuer fails to satisfy certain common stock delivery obligations upon conversion of the Notes.
/s/ Brian Szymczak - Attorney-in-Fact
2019-08-14