Statement of Changes in Beneficial Ownership (4)
20 October 2021 - 9:44AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
CPMG Inc |
2. Issuer Name and Ticker or Trading Symbol
Apollo Endosurgery, Inc.
[
APEN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Last)
(First)
(Middle)
2000 MCKINNEY AVE., STE 2125 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/15/2021 |
|
(Street)
DALLAS, TX 75201
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Class A common stock | 10/15/2021 | | P(2) | | 38710 | A | $7.75 (2) | 521522 (3) | I (1) | By Curlew Fund, LP (1) |
| Class A common stock | 10/15/2021 | | P(2) | | 258064 | A | $7.75 (2) | 696071 (4) | I (1) | By Killdeer Fund, LP (1) |
| Class A common stock | 10/15/2021 | | P(2) | | 387097 | A | $7.75 (2) | 2151209 (5) | I (1) | By Roadrunner Fund, LP (1) |
| Class A common stock | | | | | | | | 45594 | I (1) | By Crested Crane, LP (1) |
| Class A common stock | | | | | | | | 63671 | I (1) | By Kestrel Fund, LP (1) |
| Class A common stock | | | | | | | | 400675 | I (1) | By Mallard Fund, LP (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The Reporting Person is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). In such capacity, the Reporting Person may be deemed to exercise voting and investment control over the securities owned by each of the Funds. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| (2) | These shares were acquired in an underwritten registered follow-on offering by the Issuer that closed on October 15, 2021. |
| (3) | This amount includes an aggregate 5,692 shares issued by the Issuer to the Curlew Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Curlew Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a). |
| (4) | This amount includes an aggregate 22,763 shares issued by the Issuer to the Killdeer Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Killdeer Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a). |
| (5) | This amount includes an aggregate 56,904 shares issued by the Issuer to the Roadrunner Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Roadrunner Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a). |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
CPMG Inc
2000 MCKINNEY AVE., STE 2125
DALLAS, TX 75201 |
| X |
|
|
Signatures
|
| /s/ John Bateman, Chief Operating Officer of CPMG, Inc. | | 10/19/2021 |
| **Signature of Reporting Person | Date |
Apollo Endosurgery (NASDAQ:APEN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Apollo Endosurgery (NASDAQ:APEN)
Historical Stock Chart
From Apr 2023 to Apr 2024
Real-Time news about Apollo Endosurgery Inc (NASDAQ): 0 recent articles
More Apollo Endosurgery, Inc. News Articles