Form Type: 4

SEC EDGAR Link
Accession Number:0001019056-20-000640
Date:2020-10-28
Issuer: APOLLO ENDOSURGERY, INC. (APEN)
Original Submission Date:

Reporting Person:

GAGNON NEIL
1370 AVENUE OF THE AMERICAS
24TH FLOOR NEW YORK, NY 10019

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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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