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