0001251769-22-000024.txt : 20220310 0001251769-22-000024.hdr.sgml : 20220310 20220310175330 ACCESSION NUMBER: 0001251769-22-000024 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220215 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: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 22730322 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 3/A 1 wf-form3a_164695279431950.xml FORM 3/A X0206 3/A 2022-02-15 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 22838 D Common Stock 21403 D Common Stock 19796 D Stock Option (Right to Buy) 6.5 2027-05-25 Common Stock 14000.0 D Stock Option (Right to Buy) 4.37 2027-12-07 Common Stock 25500.0 D Stock Option (Right to Buy) 3.49 2029-05-07 Common Stock 22655.0 D Stock Option (Right to Buy) 2.08 2030-05-07 Common Stock 22171.0 D Stock Option (Right to Buy) 5.95 2031-03-10 Common Stock 14846.0 D Represents grants of Restricted Stock Units (the "RSU Awards") payable solely in common stock of the Issuer. The shares subject to the RSU Awards shall vest over a four-year period at the rate of 25% per year. Represents grants of "RSU Awards" payable solely in common stock of the Issuer. The shares subject to the RSU Awards shall vest over a three-year period at the rate of 33% per year. The shares underlying the performance based option vested 25% on 1/2/2018 and the remainder will vest in equal monthly installments over the following three years. 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. The shares underlying the option shall vest as to 33% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following two years. Corrected Table I breakout and footnotes, and corrected Table II footnotes. /s/ Brian Szymczak - Attorney-in-Fact 2022-03-10 EX-24 2 guttpoa.htm POA_MIKEGUTTERIDG

POWER OF ATTORNEY

Know all by these presents, that the undersigned hereby constitutes and appoints each of Brian Szymczak, Mark B. Weeks, John McKenna, and Milson Yu, signing individually, the undersigned's true and lawful attorneys-in fact and agents to:

(1) execute for and on behalf of the undersigned, an officer, director or holder of 10% of more of a registered class of securities of Apollo Endosurgery, Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules thereunder;

(2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute such Form 3, 4 or 5, complete and execute any amendment or amendments thereto, and timely file such forms or amendments with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

(3) take any other action of any nature whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact or (c) as to any attorney-in-fact individually, until such attorney in-fact shall no longer be employed by the Company.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 1st day of March, 2022.


/s/ Mike Gutteridge_______________________________________
Printed Name: Mike Gutteridge