Amended Statement of Ownership (sc 13g/a)
11 February 2022 - 9:03AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
APOLLO
ENDOSURGERY, INC.
(Name of Issuer)
Common Stock
(Title of
Class of Securities)
03767D108
(CUSIP Number)
December
31, 2021
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☒
Rule 13d-1(c)
☐ Rule 13d-1(d)
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
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The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of
the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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1
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NAMES OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Soleus Capital
Master Fund, L.P.
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
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5
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SOLE VOTING POWER
0
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6
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SHARED VOTING POWER
2,295,100 (1)
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7
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SOLE DISPOSITIVE POWER
0
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8
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SHARED DISPOSITIVE POWER
2,295,100 (1)
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,295,100 (1)
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10
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CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
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11
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
5.8% (2)
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12
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TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS)
FI
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FOOTNOTES
(1)
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The shares of common stock reported in this row are held by Soleus Capital Master Fund, L.P. (Master
Fund). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy
is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission
that they are the beneficial owners of such securities for purposes of Section 13(d) of the Exchange Act, or for any other purpose, except to the extent of their respective pecuniary interests therein.
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(2)
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This percentage is calculated based upon 39,492,526 shares of common stock outstanding of the Issuer as of
October 29, 2021, as reported on the cover of the Issuers Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2021 that was filed with the Securities and Exchange Commission on November 1, 2021 (the Form 10-Q).
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1
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NAMES OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Soleus Capital,
LLC
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
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5
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SOLE VOTING POWER
0
|
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6
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SHARED VOTING POWER
2,295,100 (1)
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7
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SOLE DISPOSITIVE POWER
0
|
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8
|
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SHARED DISPOSITIVE POWER
2,295,100 (1)
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,295,100 (1)
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10
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CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
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11
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
5.8% (2)
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12
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TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS)
OO
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FOOTNOTES
(1)
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The shares of common stock reported in this row are held by Master Fund. Soleus Capital, LLC is the sole
general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital
Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such
securities for purposes of Section 13(d) of the Exchange Act, or for any other purpose, except to the extent of their respective pecuniary interests therein.
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(2)
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This percentage is calculated based upon 39,492,526 shares of common stock outstanding of the Issuer as of
October 29, 2021, as reported on the cover of the Form 10-Q.
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1
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NAMES OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Soleus Capital
Group, LLC
|
2
|
|
CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☐
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3
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SEC USE ONLY
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4
|
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
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SHARED VOTING POWER
2,295,100 (1)
|
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7
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SOLE DISPOSITIVE POWER
0
|
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8
|
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SHARED DISPOSITIVE POWER
2,295,100 (1)
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,295,100 (1)
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10
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CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
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11
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
5.8% (2)
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12
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TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS)
OO
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FOOTNOTES
(1)
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The shares of common stock reported in this row are held by Master Fund. Soleus Capital, LLC is the sole
general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital
Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such
securities for purposes of Section 13(d) of the Exchange Act, or for any other purpose, except to the extent of their respective pecuniary interests therein.
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(2)
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This percentage is calculated based upon 39,492,526 shares of common stock outstanding of the Issuer as of
October 29, 2021, as reported on the cover of the Form 10-Q.
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1
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NAMES OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Guy
Levy
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
United States
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
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5
|
|
SOLE VOTING POWER
0
|
|
6
|
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SHARED VOTING POWER
2,295,100 (1)
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|
7
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SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
2,295,100 (1)
|
9
|
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,295,100 (1)
|
10
|
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CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
|
11
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
5.8% (2)
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12
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TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS)
IN
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FOOTNOTES
(1)
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The shares of common stock reported in this row are held by Master Fund. Soleus Capital, LLC is the sole
general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital
Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such
securities for purposes of Section 13(d) of the Exchange Act, or for any other purpose, except to the extent of their respective pecuniary interests therein.
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(2)
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This percentage is calculated based upon 39,492,526 shares of common stock outstanding of the Issuer as of
October 29, 2021, as reported on the cover of the Form 10-Q.
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Item 1.
Apollo Endosurgery, Inc.
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(b)
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Address of Issuers Principal Executive Offices
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1120 S. Capital of Texas Highway
Building 1, Suite #300
Austin,
TX 78746
Item 2.
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(a)
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Name of Person(s) Filing
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Soleus Capital Master Fund, L.P.
Soleus Capital, LLC
Soleus
Capital Group, LLC
Guy Levy
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(b)
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Address of Principal Business Office or, if none, Residence
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Soleus Capital Master Fund, L.P.
104 Field Point Road, 2nd Floor
Greenwich, CT 06830
Soleus
Capital, LLC
104 Field Point Road, 2nd Floor
Greenwich, CT 06830
Soleus
Capital Group, LLC
104 Field Point Road, 2nd Floor
Greenwich, CT 06830
Guy Levy
c/o Soleus Capital Management, L.P
104 Field Point Road, 2nd Floor
Greenwich, CT 06830
Soleus Capital Master Fund, L.P. Cayman Islands
Soleus Capital, LLC Delaware
Soleus Capital Group, LLC - Delaware
Guy Levy United States
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(d)
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Title of Class of Securities
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Common Stock
03767D108
Item 3. If this statement is
filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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☐
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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☐
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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☐
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. ☐78c).
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(d)
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☐
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
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(e)
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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☐
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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☐
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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☐
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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☐
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A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J).
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(k)
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☐
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Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with
§240.13d-1(b)(1)(ii)(J), please specify the type of institution:
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Item 4. Ownership.
Reference is made to Items 5 11 on the preceding pages of this Schedule 13G.
As of the close of business on December 31, 2021, Master Fund held an aggregate of 2,295,100 shares of the common stock of the Issuer. As
the general partner of Master Fund, Soleus Capital, LLC may be deemed to have shared power to vote or to direct the vote and to dispose or to direct the disposition of the shares held by Master Fund. As the sole managing member of Soleus Capital,
LLC, Soleus Capital Group, LLC may be deemed to have shared power to vote or to direct the vote and to dispose or to direct the disposition of the shares held by Master Fund. As the sole managing member of Soleus Capital Group, LLC, Mr. Guy
Levy may be deemed to have shared power to vote or direct the vote and to dispose or to direct the disposition of the Shares held by Master Fund.
Neither the filing of this Schedule 13G nor any of its contents shall be deemed to constitute an admission that Mr. Levy, Soleus Capital,
LLC or Soleus Capital Group, LLC is the beneficial owner of the shares of the common stock of the Issuer referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose, and such
beneficial ownership is expressly disclaimed, except to the extent of their respective pecuniary interests therein.
Item 5. Ownership of Five
Percent or Less of a Class
Not applicable.
Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not applicable.
Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the
Parent Holding Company
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Not applicable.
Item 8.
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Identification and Classification of Members of the Group
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Not applicable.
Item 9.
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Notice of Dissolution of Group
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Not applicable.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held
for the purpose, or with the effect, of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement
is true, complete and correct.
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Date: February 10, 2022
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Soleus Capital Master Fund, L.P.
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By:
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Soleus Capital, LLC, its General Partner
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By:
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Soleus Capital Group, LLC, its Managing Manager
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By:
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/s/ Guy Levy
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Name:
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Guy Levy
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Title:
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Managing Member
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Date: February 10, 2022
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Soleus Capital, LLC
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By:
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Soleus Capital Group, LLC, its Managing Manager
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By:
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/s/ Guy Levy
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Name:
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Guy Levy
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Title:
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Managing Member
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Date: February 10, 2022
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Soleus Capital Group, LLC
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By:
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/s/ Guy Levy
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Name:
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Guy Levy
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Title:
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Managing Member
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Date: February 10, 2022
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/s/ Guy Levy
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Name:
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Guy Levy
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Footnotes:
Attention:
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Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
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