0001105806-19-000001.txt : 20190102 0001105806-19-000001.hdr.sgml : 20190102 20190102083552 ACCESSION NUMBER: 0001105806-19-000001 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190102 DATE AS OF CHANGE: 20190102 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Apollo Endosurgery, Inc. CENTRAL INDEX KEY: 0001251769 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 161630142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81182 FILM NUMBER: 19500127 BUSINESS ADDRESS: STREET 1: 1120 SOUTH CAPITAL OF TX HWY STREET 2: BUILDING 1 SUITE 300 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 512-279-5100 MAIL ADDRESS: STREET 1: 1120 SOUTH CAPITAL OF TX HWY STREET 2: BUILDING 1 SUITE 300 CITY: AUSTIN STATE: TX ZIP: 78746 FORMER COMPANY: FORMER CONFORMED NAME: LPATH, INC DATE OF NAME CHANGE: 20060316 FORMER COMPANY: FORMER CONFORMED NAME: LPATH INC DATE OF NAME CHANGE: 20051202 FORMER COMPANY: FORMER CONFORMED NAME: NEIGHBORHOOD CONNECTIONS INC DATE OF NAME CHANGE: 20040323 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LYTTON LAURENCE W CENTRAL INDEX KEY: 0001105806 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 467 CPW CITY: NY STATE: NY ZIP: 10025 SC 13G 1 apen.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Schedule 13G Under the Securities Exchange Act of 1934 Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) December 21, 2018 (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) [X] 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. 290846203 1. Names of Reporting Persons Laurence W. Lytton 2. Check the Appropriate Box if a Member of a Group Not Applicable 3. SEC Use Only 4. Citizenship or Place of Organization USA Number of Shares Beneficially Owned By Each Reporting Person With 5. Sole Voting Power 1,391,584 6. Shared Voting Power 21,200 7. Sole Dispositive Power 1,391,584 8. Shared Dispositive Power 21,200 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,412,784 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] Not Applicable 11. Percent of Class Represented by Amount in Row (9) 6.5% (1) (1) based on 21,893,509 shares of common stock issued and outstanding, as of October 31, 2018, as reported in the 10-Q filed Nov 8,2018. 12. Type of Reporting Person (See Instructions) IN Item 1. (a) Name of Issuer Apollo Endosurgery, Inc. (b) Address of Issuer's Principal Executive Offices 1120 S. Capital of Texas Highway Building 1, Suite #300 Austin, Texas 78746 Item 2. (a) Name of Person Filing Laurence W. Lytton (b) Address of Principal Business Office, or if none, Residence 467 CPW NY, NY 10025 (c) Citizenship USA (d) Title of Class of Securities Common Stock (e) CUSIP Number 03767D108 Item 3. not applicable Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1 (a) Amount beneficially owned: 1,412,784 shares consisting of 1,290,755 held by the reporting person, 53,974 held by the AWL Family LLC, 36,355 held by the Lytton-Kambara Foundation, and 31,700 shares held by other related accounts. (b) Percent of class: 6.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 1,391,584 (ii) Shared power to vote or to direct the vote 21,200 (iii) Sole power to dispose or to direct the disposition of 1,391,584 (iv) Shared power to dispose or to direct the disposition of 21,200 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities check the following [_]. 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. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of 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, I certify that the information set forth in this statement is true, complete and correct. ________01/02/19____________________________ Date ____s/ Laurence W. Lytton____________________________ Signature _____Laurence W. Lytton___________________________ Name/Title