0001251769-22-000023.txt : 20220310
0001251769-22-000023.hdr.sgml : 20220310
20220310175310
ACCESSION NUMBER: 0001251769-22-000023
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220225
FILED AS OF DATE: 20220310
DATE AS OF CHANGE: 20220310
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gutteridge Mike
CENTRAL INDEX KEY: 0001913992
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35706
FILM NUMBER: 22730321
MAIL ADDRESS:
STREET 1: 1120 S. CAPITAL OF TEXAS HIGHWAY
STREET 2: BUILDING 1, SUITE #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/A
1
wf-form4a_164695277192128.xml
FORM 4/A
X0306
4/A
2022-02-25
2022-03-01
0
0001251769
Apollo Endosurgery, Inc.
APEN
0001913992
Gutteridge Mike
1120 SOUTH CAPITAL OF TEXAS HIGHWAY
BUILDING ONE, SUITE 300
AUSTIN
TX
78746
0
1
0
0
VP, Int'l Sales and Marketing
Common Stock
2022-02-25
4
A
0
22610
0
A
63809
D
Stock Option (Right to Buy)
5.63
2022-02-25
4
A
0
11611
0
A
2032-02-25
Common Stock
11611.0
11611
D
Represents the grant of Restricted Stock Units ("RSUs"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock pursuant to the Issuer's 2017 Equity Incentive Plan (the "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 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 Plan.
The number of shares listed in this column does not include other outstanding equity awards granted with different exercise prices, vesting conditions and other terms.
Added footnote 3.
/s/ Brian Szymczak - Attorney-in-Fact
2022-03-10