X0306 4 2020-07-17 0001251769 Apollo Endosurgery, Inc. APEN 0001402856 McGaughy R Kent Jr C/O CPMG, INC. 2000 MCKINNEY AVE, STE 2125 DALLAS TX 75201 true true Class A common stock 2020-07-17 4 P 0 180000 1.25 A 477120 I By Curlew Fund, LP Class A common stock 2020-07-17 4 P 0 400000 1.25 A 415244 I By Killdeer Fund, LP Class A common stock 2020-07-17 4 P 0 1200000 1.25 A 1707208 I By Roadrunner Fund, LP Class A common stock 45594 I By Crested Crane, LP Class A common stock 63671 I By Kestrel Fund, LP Class A common stock 400675 I By Mallard Fund, LP CPMG, Inc. and the Managing Director of CPMG, Inc. have shared voting and investment control over the securities owned by each of Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Killdeer Fund, LP, and Roadrunner Fund, LP (each, a "Fund"). The Reporting Person is the Managing Director of CPMG, Inc. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. These shares were acquired directly from the Issuer pursuant to a securities purchase agreement dated as of July 17, 2020. /s/ R. Kent McGaughy, Jr. 2020-07-21