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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 | 00:00:00 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
APOLLO ENDOSURGERY, INC.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
03767D108
(CUSIP Number)
December 31, 2022
(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)
| * | The remainder of this cover page shall be filled out for a reporting person’s 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. |
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).
CUSIP NO. 03767D108 NAMES OF REPORTING PERSONS I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Soleus Capital
Master Fund, L.P. CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐ SEC USE ONLY CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman
Islands NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: SOLE VOTING POWER 0 SHARED VOTING POWER 0 SOLE DISPOSITIVE POWER 0 SHARED DISPOSITIVE POWER 0 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐ PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9) 0% TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS) FI
CUSIP NO. 03767D108 NAMES OF REPORTING PERSONS I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Soleus Capital,
LLC CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐ SEC USE ONLY CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: SOLE VOTING POWER 0 SHARED VOTING POWER 0 SOLE DISPOSITIVE POWER 0 SHARED DISPOSITIVE POWER 0 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐ PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9) 0% TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS) OO
CUSIP NO. 03767D108 NAMES OF REPORTING PERSONS I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Soleus Capital
Group, LLC CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐ SEC USE ONLY CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: SOLE VOTING POWER 0 SHARED VOTING POWER 0 SOLE DISPOSITIVE POWER 0 SHARED DISPOSITIVE POWER 0 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐ PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9) 0% TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS) OO
CUSIP NO. 03767D108 NAMES OF REPORTING PERSONS I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Guy
Levy CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐ SEC USE ONLY CITIZENSHIP OR PLACE OF
ORGANIZATION United
States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: SOLE VOTING POWER 0 SHARED VOTING POWER 0 SOLE DISPOSITIVE POWER 0 SHARED DISPOSITIVE POWER 0 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 CHECK IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐ PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9) 0% TYPE OF REPORTING PERSON
(SEE INSTRUCTIONS) IN
Item 1. 1120 S. Capital of Texas Highway Building 1,
Suite #300 Austin, TX 78746 Item 2. Soleus Capital Master Fund, L.P. Soleus
Capital, LLC Soleus Capital Group, LLC Guy Levy 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
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: 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, 2022, the Reporting Persons did not beneficially own any shares of the common stock of the
Issuer. Item 5. Ownership of Five Percent or Less of a Class Not applicable. Item 6. Ownership of
More than Five Percent on Behalf of Another Person. Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable.
Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of
Dissolution of Group Not applicable. Item 10. Certification 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. /s/ Guy Levy /s/ Guy Levy /s/ Guy Levy /s/ Guy Levy
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(a)
Name of Issuer
Apollo Endosurgery, Inc.
(b)
Address of Issuer’s Principal Executive Offices
(a)
Name of Person(s) Filing
(b)
Address of Principal Business Office or, if none, Residence
(c)
Citizenship
(d)
Title of Class of Securities
Common Stock
(e)
CUSIP Number
03767D108
(a)
☐
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b)
☐
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c)
☐
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. ☐78c).
(d)
☐
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
(e)
☐
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
(f)
☐
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
(g)
☐
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)
☐
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)
☐
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);
(j)
☐
A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J).
(k)
☐
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:
Date: February 14, 2023
Soleus Capital Master Fund, L.P.
By:
Soleus Capital, LLC, its General Partner
By:
Soleus Capital Group, LLC, its Managing Manager
By:
Name:
Guy Levy
Title:
Managing Member
Date: February 14, 2023
Soleus Capital, LLC
By:
Soleus Capital Group, LLC, its Managing Manager
By:
Name:
Guy Levy
Title:
Managing Member
Date: February 14, 2023
Soleus Capital Group, LLC
By:
Name:
Guy Levy
Title:
Managing Member
Date: February 14, 2023
Name: Guy Levy
Footnotes:
Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
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