X0306 4 2017-09-05 0 0001251769 Apollo Endosurgery, Inc. APEN 0001364349 PTV SCIENCES II L P 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001593757 PTV IV, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001588122 PTV Special Opportunities I, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001713073 PTV Evergreen Fund, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001392478 Pinto Technology Ventures GP II, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001593758 PTV GP IV, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001588123 PTV GP SO I, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001713074 PTV GP Evergreen, L.P. 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001373072 Pinto TV GP CO LLC 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 0001717889 PTV GP III Management, LLC 3600 N CAPITAL OF TEXAS HWY, SUITE B180 AUSTIN TX 78746 0 0 1 0 Common Stock 2017-09-05 4 P 0 41000 4.04 A 1131909 I By PTV Evergreen Fund, L.P. Common Stock 2017-09-12 4 P 0 135000 3.85 A 1266909 I By PTV Evergreen Fund, L.P. Common Stock 2199186 I By PTV Sciences II, L.P. Common Stock 1347565 I By PTV IV, L.P. Common Stock 605712 I By PTV Special Opportunities I, L.P. These securities are owned by PTV Evergreen Fund, L.P. ("PTV EG"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP Evergreen, L.P. ("PTV GP EG"), which is the sole general partner of PTV EG. Accordingly, PTV GP EG and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV EG. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV EG. Each of PTV GP EG and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. These securities are owned by PTV Sciences II, L.P. ("PTV II"). Pinto TV GP Company LLC ("PTV GPC") is the sole general partner of Pinto Technology Ventures GP II, L.P. ("PTV GP II"), which is the sole general partner of PTV II. Accordingly, PTV GP II and PTV GPC may be deemed to have voting and investment control over the shares owned by PTV II. The managers of PTV GPC are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV II. Each of PTV GP II and PTV GPC disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. These securities are owned by PTV IV, L.P. ("PTV IV"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP IV, L.P. ("PTV GP IV"), which is the sole general partner of PTV IV. Accordingly, PTV GP IV and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV IV. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV IV. Each of PTV GP IV and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. These securities are owned by PTV Special Opportunities I, L.P. ("PTV SO"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP SO I, L.P. ("PTV GP SO"), which is the sole general partner of PTV SO. Accordingly, PTV GP SO and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV SO. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV SO. Each of PTV GP SO and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Matthew S. Crawford and Rick D. Anderson are both directors of the Issuer and accordingly file separate Section 16 reports. PTV Sciences II, L.P., By: Pinto Technology Ventures GP II, L.P., its general partner, By: Pinto TV GP Company LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV IV, L.P., By: PTV GP IV, L.P., its general partner, By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV Special Opportunities I, L.P., By: PTV GP SO I, L.P., its general partner, By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV Evergreen Fund, L.P., By: PTV GP Evergreen, L.P., its general partner, By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 Pinto Technology Ventures GP II, L.P., By: Pinto TV GP Company LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP IV, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP SO I, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP Evergreen, L.P., By: PTV GP III Management, LLC, its general partner, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 Pinto TV GP Company LLC, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25 PTV GP III Management, LLC, By: /s/ Matthew S. Crawford, Its: Manager 2017-09-25