0001694007-20-000003.txt : 20200511
0001694007-20-000003.hdr.sgml : 20200511
20200511170545
ACCESSION NUMBER: 0001694007-20-000003
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200507
FILED AS OF DATE: 20200511
DATE AS OF CHANGE: 20200511
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gostout Christopher J.
CENTRAL INDEX KEY: 0001694007
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35706
FILM NUMBER: 20865903
MAIL ADDRESS:
STREET 1: C/O APOLLO ENDOSURGERY, INC., 1120 S.
STREET 2: CAPITAL OF TEXAS HWY, BLDG. 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
1
wf-form4_158923112822023.xml
FORM 4
X0306
4
2020-05-07
0
0001251769
Apollo Endosurgery, Inc.
APEN
0001694007
Gostout Christopher J.
1120 SOUTH CAPITAL OF TEXAS HIGHWAY
BUILDING ONE, STE 300
AUSTIN
TX
78746
0
1
0
0
Chief Medical Officer
Common Stock
2020-05-07
4
A
0
34561
0
A
67327
D
Stock Option (Right to Buy)
2.08
2020-05-07
4
A
0
51610
2.08
A
2030-05-07
Common Stock
51610.0
229552
D
Represents the grant of Restricted Stock Units ("RSU"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock pursuant to the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The RSUs vest in equal annual installments over three 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 Apollo Endosurgery, Inc. 2017 Incentive Plan.
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, 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 Apollo Endosurgery, Inc. 2017 Equity Incentive Plan.
/s/ Brian Szymczak - Attorney-in-Fact
2020-05-11