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