0001460878-18-000002.txt : 20180302 0001460878-18-000002.hdr.sgml : 20180302 20180302144559 ACCESSION NUMBER: 0001460878-18-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180228 FILED AS OF DATE: 20180302 DATE AS OF CHANGE: 20180302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Newton Todd CENTRAL INDEX KEY: 0001460878 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 18661364 MAIL ADDRESS: STREET 1: 7000 WEST WILLIAM CANNON STREET 2: BUILDING ONE CITY: AUSTIN STATE: TX ZIP: 78735 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_152001993926395.xml FORM 4 X0306 4 2018-02-28 0 0001251769 Apollo Endosurgery, Inc. APEN 0001460878 Newton Todd 1120 SOUTH CAPITAL OF TEXAS HIGHWAY BUILDING ONE, STE 300 AUSTIN TX 78746 1 1 0 0 Chief Executive Officer Common Stock 2018-02-28 4 A 0 28750 0 A 195879 D Stock Option (Right to Buy) 6.58 2018-02-28 4 A 0 86250 6.58 A 2019-02-28 2028-02-28 Common Stock 86250.0 86250 D Represents grant of restricted stock units payable solely in common stock that vest in annual installments over four years from the grant date. 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 month installments over the following three years. /s/ Brian Szymczak - Attorney-in-Fact 2018-03-02