0001251769-21-000107.txt : 20210820 0001251769-21-000107.hdr.sgml : 20210820 20210820205506 ACCESSION NUMBER: 0001251769-21-000107 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210818 FILED AS OF DATE: 20210820 DATE AS OF CHANGE: 20210820 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McKhann Chas CENTRAL INDEX KEY: 0001631746 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 211195094 MAIL ADDRESS: STREET 1: 1555 ADAMS DRIVE STREET 2: C/O INTERSECT ENT, INC. CITY: MENLO PARK STATE: CA ZIP: 94025 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/A 1 wf-form4a_162950729073044.xml FORM 4/A X0306 4/A 2021-08-18 2021-08-20 0 0001251769 Apollo Endosurgery, Inc. APEN 0001631746 McKhann Chas 1120 S. CAPITAL OF TEXAS HIGHWAY BUILDING ONE, SUITE 300 AUSTIN TX 78746 1 1 0 0 President and CEO Common Stock 2021-08-18 4 S 0 21156 8.21 D 686122 D Common Stock 2021-08-19 4 S 0 21148 7.89 D 664974 D Common Stock 2021-08-20 4 S 0 21148 7.74 D 643826 D On March 10, 2021, the holder was granted 707,278 performance-based restricted stock units ("RSUs"), as previously reported on a Form 4 filed on March 12, 2021. One-quarter (25%) of these RSUs vested upon the Company's achievement of at least $50 million of revenue for the trailing four quarters ended June 30, 2021. Amounts reported represent shares sold by the holder solely to satisfy the holder's tax withholding obligation due in connection with the vesting and settlement of this tranche of the RSUs. Represents weighted average price of shares sold. Prices ranged between $8.02 - $8.55, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Represents weighted average price of shares sold. Prices ranged between $7.68 - $8.15, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Represents weighted average price of shares sold. Prices ranged between $7.59 - $8.09, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Added new footnote 1 above to clarify the nature of the sales of shares of common stock. /s/ Brian Szymczak - Attorney-in-Fact 2021-08-20