Accession Number: | 0001019056-20-000640 |
Date: | 2020-10-28 |
Issuer: | APOLLO ENDOSURGERY, INC. (APEN) |
Original Submission Date: |
GAGNON NEIL
1370 AVENUE OF THE AMERICAS
24TH FLOOR
NEW YORK, NY 10019
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK, $0.001 PAR VALUE PER SHARE | 2020-10-28 | S | 693 | a | $1.65 | 52,027 | indirect | ||
COMMON STOCK, $0.001 PAR VALUE PER SHARE | 2020-10-28 | S | 9,663 | a | $1.65 | 1,200,769 | indirect | ||
COMMON STOCK, $0.001 PAR VALUE PER SHARE | 2020-12-16 | S | 2,488 | a | $4.16 | 14,656 | indirect | ||
COMMON STOCK, $0.001 PAR VALUE PER SHARE | 2020-12-16 | S | 8,314 | a | $4.16 | 351,043 | direct | ||
COMMON STOCK, $0.001 PAR VALUE PER SHARE | 2020-10-28 | 0 | $0.00 | 82,405 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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