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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 |
FORM 4
☒
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person * Gostout Christopher J. | 2. Issuer Name and Ticker or Trading Symbol Apollo Endosurgery, Inc. [ APEN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Medical Officer |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
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 | |
Rule 10b5-1(c) Transaction Indication
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
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 | ||||||
Common Stock | 4/4/2023 | D | 90267 (1)(2) | D | (1)(2) | 0 | D |
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 | ||||||||
Stock Option (Right to Buy) | $2.09 | 4/4/2023 | D | 3450 | (3) | 7/25/2023 | Common Stock | 3450.0 | (3) | 0 | D | ||||
Stock Option (Right to Buy) | $11.79 (4) | 4/4/2023 | D | 135000 | (5) | 7/25/2023 | Common Stock | 135000.0 | (5) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $6.58 | 4/4/2023 | D | 14050 | (3) | 2/28/2028 | Common Sock | 14050.0 | (3) | 0 | D | ||||
Stock Option (Right to Buy) | $3.49 | 4/4/2023 | D | 25442 | (3) | 5/7/2029 | Common Stock | 25442.0 | (3) | 0 | D | ||||
Stock Option (Right to Buy) | $2.08 | 4/4/2023 | D | 51610 | (3) | 5/7/2030 | Common Stock | 51610.0 | (3) | 0 | D | ||||
Stock Option (Right to Buy) | $5.95 | 4/4/2023 | D | 11876 | (3) | 3/10/2031 | Common Stock | 11876.0 | (3) | 0 | D | ||||
Stock Option (Right to Buy) | $5.63 | 4/4/2023 | D | 6635 | (3) | 2/25/2032 | Common Stock | 6635.0 | (3) | 0 | D |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Gostout Christopher J. 1120 SOUTH CAPITAL OF TEXAS HIGHWAY BUILDING ONE, STE 300 AUSTIN, TX 78746 | Chief Medical Officer |
Signatures | ||
/s/ Brian Szymczak - Attorney-in-Fact | 4/4/2023 | |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Apollo Endosurgery Chart |
1 Month Apollo Endosurgery Chart |
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