0001251769-21-000031.txt : 20210312 0001251769-21-000031.hdr.sgml : 20210312 20210312174346 ACCESSION NUMBER: 0001251769-21-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210312 DATE AS OF CHANGE: 20210312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schwartzhoff Bret CENTRAL INDEX KEY: 0001688932 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 21738827 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_161558900675198.xml FORM 4 X0306 4 2021-03-10 0 0001251769 Apollo Endosurgery, Inc. APEN 0001688932 Schwartzhoff Bret 1120 S CAP TX HWY 1-300 AUSTIN TX 78746 0 1 0 0 VP, US Sales & Marketing Common Stock 2021-03-10 4 A 0 14028 0 A 102869 D Stock Option (Right to Buy) 5.95 2021-03-10 4 A 0 16627 5.95 A 2031-03-10 Common Stock 16627.0 185809 D Represents the grant of Restricted Stock Units ("RSU"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock pursuant to the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The RSUs vest in equal annual installments over four years commencing on the grant date, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Incentive Plan. The shares underlying the option shall vest as to 25% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. Inducement Grant Outside of the 2017 Equity Incentive Plan. /s/ Brian Szymczak - Attorney-in-Fact 2021-03-12