0001567619-19-017052.txt : 20190814 0001567619-19-017052.hdr.sgml : 20190814 20190814181654 ACCESSION NUMBER: 0001567619-19-017052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190812 FILED AS OF DATE: 20190814 DATE AS OF CHANGE: 20190814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STONEPINE CAPITAL, L.P. CENTRAL INDEX KEY: 0001370042 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 191027903 BUSINESS ADDRESS: STREET 1: 919 NW BOND STREET STREET 2: SUITE 204 CITY: BEND STATE: OR ZIP: 97703 BUSINESS PHONE: 541-647-5664 MAIL ADDRESS: STREET 1: 919 NW BOND STREET STREET 2: SUITE 204 CITY: BEND STATE: OR ZIP: 97703 FORMER NAME: FORMER CONFORMED NAME: STONEPINE CAPITAL L P DATE OF NAME CHANGE: 20060724 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 doc1.xml FORM 4 X0306 4 2019-08-12 1 0001251769 Apollo Endosurgery, Inc. APEN 0001370042 STONEPINE CAPITAL, L.P. 919 NW BOND STREET, SUITE 204 BEND OR 97703 0 0 1 0 Common Stock 2019-08-12 4 J 0 1000000 D 1580518 D Warrant 2019-08-12 4 J 0 1 A 2019-08-12 Common Stock 1000000 1 D 6.0% Convertible Debenture due 2024 3.25 2019-08-12 4 P 0 2775000 2775000 A 2019-08-12 2024-08-12 Common Stock 853847 2775000 D On August 12, 2019, the Reporting Person entered into a private transaction with the Issuer pursuant to which the Reporting Person exchanged 1,000,000 shares of the issuer's Common stock, par value $0.001 per share (the "Stock"), for a pre-funded warrant (the "Warrant") to purchase 1,000,000 shares of the Stock and purchased from the Issuer a 6.0% Convertible Debenture due 2024 (the "Note"). The exercise price of the Warrant, except for a nominal exercise price of $0.001 per share of Stock, was pre-funded on or prior to the initial exercise date by the exchange described in footnote 1. The Warrant terminates if the Issuer enters into certain fundamental transactions. Notwithstanding the number of shares reported in column 7, the Warrant may not be exercised to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock. Notwithstanding the number of shares reported in column 7, the Note may not be converted to the extent it would cause the Reporting Person and its affiliates to beneficially own more than 9.99% of the Stock. Stonepine Capital, L.P., by Timothy P. Lynch, Manager of its General Partner 2019-08-13