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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Apollo Endosurgery Inc | NASDAQ:APEN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 10.00 | 9.15 | 10.85 | 0 | 01:00:00 |
1
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NAMES OF REPORTING PERSONS
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CPMG, INC.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☒
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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AF
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Texas
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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6,077,397 (1)
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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6,077,397 (1)
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,077,397 (1)
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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15.0% (2)
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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1. |
This amount includes the approximately 2,198,655 Shares that the Reporting Person has the right to acquire upon conversion of $7,145,625 principal amount of the
Convertible Debt (as defined in Amendment No. 2).
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2. |
This percentage is based on approximately 40,483,634 Shares outstanding, which is the sum of (i) 38,284,979 Shares outstanding upon closing of the October 2021
Offering (as defined herein) and exercise of the underwriters’ overallotment option in full, as provided by the Issuer, and (ii) approximately 2,198,655 Shares issuable to the Reporting Person upon conversion of the $7,145,625 principal
amount of the Convertible Debt, which shares have been added to the total Shares outstanding pursuant to Rule 13d-3(d)(1)(i)(D) under the Exchange Act.
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1
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NAMES OF REPORTING PERSONS
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R. KENT MCGAUGHY, JR.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☒
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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AF
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States of America
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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6,077,397 (1)
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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6,077,397 (1)
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,077,397 (1)
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12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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15.0% (2)
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN, HC
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1. |
This amount includes the approximately 2,198,655 Shares that the Reporting Person has the right to acquire upon conversion of $7,145,625 principal amount of the
Convertible Debt (as defined in Amendment No. 2).
|
|
2. |
This percentage is based on approximately 40,483,634 Shares outstanding, which is the sum of (i) 38,284,979 Shares outstanding upon closing of the October 2021 Offering (as defined
herein) and exercise of the underwriters’ overallotment option in full, as provided by the Issuer, and (ii) approximately 2,198,655 Shares issuable to the Reporting Person upon conversion of the $7,145,625 principal amount of the
Convertible Debt, which shares have been added to the total Shares outstanding pursuant to Rule 13d-3(d)(1)(i)(D) under the Exchange Act.
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Item 1. |
Security and Issuer
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Item 3. |
Source and Amount of Funds or Other Consideration
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Item 4. |
Purpose of Transaction
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Item 5. |
Interest in Securities of the Issuer
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(A) |
45,594 Shares held for the account of Crested Crane;
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(B) |
521,522 Shares, and approximately 146,577 Shares obtainable upon conversion of $476,375 principal amount of the Convertible Debt, held for the account of Curlew Fund;
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(C) |
63,671 Shares held for the account of Kestrel Fund;
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(D) |
400,675 Shares held for the account of Mallard Fund;
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(E)
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2,151,209 Shares, and approximately 1,465,770 Shares obtainable upon conversion of $4,763,750 principal amount of the Convertible Debt held for the
account of Roadrunner Fund; and
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(F) |
696,071 Shares, and approximately 586,308 Shares obtainable upon conversion of $1,905,500 principal amount of the Convertible Debt held for the account of Killdeer Fund.
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CPMG, INC.
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By:
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/s/ John Bateman
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Name:
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John Bateman
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Title:
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Chief Operating Officer
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R. KENT MCGAUGHY, JR.
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/s/ R. Kent McGaughy, Jr.
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1 Year Apollo Endosurgery Chart |
1 Month Apollo Endosurgery Chart |
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