0001179110-17-010722.txt : 20170726 0001179110-17-010722.hdr.sgml : 20170726 20170726183940 ACCESSION NUMBER: 0001179110-17-010722 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170725 FILED AS OF DATE: 20170726 DATE AS OF CHANGE: 20170726 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anderson Rick D CENTRAL INDEX KEY: 0001445999 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35706 FILM NUMBER: 17984000 MAIL ADDRESS: STREET 1: 3600 N CAPITAL OF TEXAS HWY STREET 2: SUITE B180 CITY: AUSTIN STATE: TX ZIP: 78746 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Apollo Endosurgery, Inc. CENTRAL INDEX KEY: 0001251769 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 161630142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 4 1 edgar.xml FORM 4 - X0306 4 2017-07-25 0 0001251769 Apollo Endosurgery, Inc. APEN 0001445999 Anderson Rick D 3600 N CAPITAL OF TEXAS HWY SUITE B180 AUSTIN TX 78746 1 0 1 0 Common Stock 2017-07-25 4 P 0 45454 5.50 A 45454 D Common Stock 2017-07-25 4 P 0 1090909 5.50 A 1090909 I By PTV Evergreen Fund, LP Common Stock 5243372 I See footnote These securities are held in the name of PTV Evergreen Fund, LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV Evergreen Fund, LP. The Managing Directors of PTV Healthcare Capital have shared voting and investment control over the shares owned by PTV Evergreen Fund, LP. The Reporting Person is a Managing Director of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV Evergreen Fund, LP. Includes (i) 1,347,565 shares of common stock held by PTV IV, L.P., (ii) 605,712 shares of common stock held by PTV Special Opportunities I, L.P., (iii) 2,199,186 shares of common stock held by PTV Sciences II, L.P., and (iv) 1,090,909 shares held by PTV Evergreen Fund, LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV IV, L.P., PTV Special Opportunities I, L.P., PTV Sciences II, L.P., and PTV Evergreen Fund, LP. The Reporting Person is a Managing Director of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV IV, L.P., PTV Special Opportunities I, L.P., PTV Sciences II, L.P., and PTV Evergreen Fund, LP. Exhibit Index: Exhibit 24 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the Reporting Person on December 29, 2016) /s/ Brian Szymczak - Attorney-in-Fact 2017-07-26