APEN 13F Hedge Fund and Asset Management Owners

Data derived from most recent annual or quarterly report
Market Cap	159.301 Million	Shares Outstanding	28.703 Million	Avg 30-day Volume	348.476 Thousand
P/E Ratio	0.0	Dividend Yield	0.0	EPS	-0.23
Price to Revenue	3.2967	Debt to Equity	22.2259	EBITDA	-7.125 Million
Price to Book Value	55.3577	Operating Margin	-28.4883	Enterprise Value	177.067 Million
Current Ratio	4.438	EPS Growth	0.589	Quick Ratio	3.269
1 Yr BETA	1.5456	52-week High/Low	10.39 / 3.9	Profit Margin	-37.5241
Operating Cash Flow Growth	26.9721	Altman Z-Score	-3.1922	Free Cash Flow to Firm	-14.347 Million

Funds Holding APEN (via 13F filings)

Quarter to view: Refresh Download CSV Download Excel (.xlsx) Download TSV

Market Value:

Ranking:

% of portfolio

*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding APEN BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name	Type	Last Reported Shares Held	Last Reported Date	Filings in past year
GAGNON NEIL	10% Owner	1,971,137	2021-10-15	9
CPMG INC		3,878,742	2021-10-15	1
MCGAUGHY R KENT JR		3,878,742	2021-10-15	1
MCKHANN CHAS PRESIDENT AND CEO	Officer Director	643,826	2021-08-18	4
BLACK JEFFREY G. CHIEF FINANCIAL OFFICER	Officer	400,000	2021-08-09	2
CAVANAUGH STEFANIE L. CFO, TREASURER, SECRETARY	Officer	95,998	2021-07-07	2
BARR JOHN R	Director	80,982	2021-06-17	2
SHIMER JULIE ANN	Director	79,762	2021-06-17	1
ANDERSON RICK D	Director 10% Owner	58,836	2021-06-17	1
MCCLELLAN WILLIAM D. JR.	Director	91,407	2021-06-17	1
PACITTI DAVID	Director	68,598	2021-06-17	3
SCHWARTZHOFF BRET VP, US SALES & MARKETING	Officer	288,678	2021-03-10	1
GOSTOUT CHRISTOPHER J. CHIEF MEDICAL OFFICER	Officer	318,775	2021-03-10	1
MOLESPHINI JOHN J EVP, OPERATIONS	Officer	234,448	2021-03-10	1
NEWTON TODD CHIEF EXECUTIVE OFFICER	Officer Director	412,306	2021-01-05	0
PTV SCIENCES II L P PTV IV, L.P. PTV SPECIAL OPPORTUNITIES I, L.P. PINTO TECHNOLOGY VENTURES GP II, L.P. PTV GP IV, L.P. PTV GP SO I, L.P. PINTO TV GP CO LLC PTV GP III MANAGEMENT, LLC	10% Owner	No longer subject to file	2020-10-30	0
CRAWFORD MATTHEW S	10% Owner	No longer subject to file	2020-10-30	0
TRAWEEK JAMES W JR		1,329,512	2020-01-02	0
STONEPINE CAPITAL, L.P.	10% Owner	No longer subject to file	2019-08-12	0
MEELIA RICHARD J	Director	11,367	2018-02-28	0
PTV SCIENCES II L P PTV SPECIAL OPPORTUNITIES I, L.P. PTV EVERGREEN FUND, L.P. PINTO TECHNOLOGY VENTURES GP II, L.P. PTV GP IV, L.P. PTV GP SO I, L.P. PTV GP EVERGREEN, L.P. PINTO TV GP CO LLC PTV GP III MANAGEMENT, LLC PTV IV, L.P.	10% Owner	4,152,463	2017-11-15	0
MCWILLIAMS DENNIS L. PRESIDENT, CCO	Officer	96,051	2017-09-15	0
PTV SCIENCES II L P PTV IV, L.P. PTV SPECIAL OPPORTUNITIES I, L.P. ANDERSON RICK D CRAWFORD MATTHEW S PTV EVERGREEN FUND, L.P.	Director 10% Owner	5,243,372	2017-07-25	1
NOVO HOLDINGS A/S	10% Owner	No longer subject to file	2017-07-24	0
TRIBIE CHARLES EXEC VP OF OPS	Officer	894	2017-05-25	0
KISNER DANIEL L	Director	No longer subject to file	2016-12-29	0
MATHEWS CHARLES	Director	No longer subject to file	2016-12-29	0
ROBERTSON BRUCE C	Director	0	2016-12-29	0
PETREE DANIEL H	Director	No longer subject to file	2016-12-29	0
SWORTWOOD DONALD	Director	No longer subject to file	2016-12-29	0
ATKINSON GARY J G CEO AND CFO	Officer	No longer subject to file	2016-12-29	0
PTV SCIENCES II L P PTV IV, L.P. PTV SPECIAL OPPORTUNITIES I, L.P. ANDERSON RICK D CRAWFORD MATTHEW S	Director 10% Owner	0	2016-12-29	0
FERRELL JEFFREY	Director	No longer subject to file	2016-12-29	0
NIELSEN JACK	Director	0	2016-12-29	0
REMEDITEX VENTURES LLC	10% Owner	0	2016-12-29	0
CREECY JOHN W	Director	0	2016-12-29	0
H.I.G. VENTURES - ENDOSURGERY, LLC	10% Owner	0	2016-12-29	0
PAGGIARINO DARIO A. CHIEF DEVELOPMENT OFFICER	Officer	0	2016-02-16	0
WOODNUTT GARY CHIEF SCIENTIFIC OFFCER	Officer	0	2016-02-16	0
LACK MICHAEL INTERIM CEO	Officer	0	2014-11-03	0
HBM HEALTHCARE INVESTMENTS (CAYMAN) LTD.	10% Owner	2,780,836	2014-09-26	0
PANCOAST SCOTT R PRESIDENT & CEO	Officer Director	116,435	2014-08-19	0
SABBADINI ROGER ALLEN VP & CHIEF SCIENTIFIC OFFICER	Officer	0	2012-03-14	0
BARCLAYS PLC	10% Owner	No longer subject to file	2011-01-03	0
BENDER JOHN F SENIOR VP-RESEARCH & DEVELOP.	Officer	0	2008-09-24	0
GARLAND WILLIAM A VP - DRUG DEVELOPMENT	Officer	50,000	2008-09-22	0
LEHMAN BROTHERS HOLDINGS INC	10% Owner	13,026,364	2008-08-13	0
HANSEN GENEVIEVE VICE PRESIDENT, RESEARCH	Officer	0	2007-11-20	0

Insider Transactions Last 60 Days

Reporting Owners	Filing Date	Trans Date	Trans Code	Shares	Share Price	Acquired Disposed	Shares Owned after	D/I	10b5	Perf 1d*	Perf 5d*	Perf 1m*	Max Gain	Max Gain Days	Max Loss	Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code	Definition
A	Grant, award or other acquisition pursuant to Rule 16b-3(d)
C	Conversion of derivative security
D	Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E	Expiration of short derivative position
F	Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G	Bona fide gift
H	Expiration (or cancellation) of long derivative position with value received
I	Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J	Other acquisition or disposition
L	Small acquisition under Rule 16a-6
M	Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O	Exercise of out-of-the-money derivative security
P	Open market or private purchase of non-derivative or derivative security
S	Open market or private sale of non-derivative or derivative security
U	Disposition pursuant to a tender of shares in a change of control transaction
W	Acquisition or disposition by will or the laws of descent and distribution
X	Exercise of in-the-money or at-the-money derivative security
Z	Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security	Date/Time	Rebate Rate	Fee Rate	Shares Available
APOLLO ENDOSURGERY INC APEN	2022-01-21 22:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 21:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 21:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 20:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 20:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 19:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 19:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 18:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 18:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 17:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 17:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 16:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 16:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 15:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 15:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 14:45:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 14:15:03 UTC	-0.2277	0.2977	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 13:45:03 UTC	-0.2567	0.3267	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 13:15:03 UTC	-0.2567	0.3267	1300000
APOLLO ENDOSURGERY INC APEN	2022-01-21 12:45:03 UTC	-0.2567	0.3267	1300000

Current Active Short Positions

Holder	Issuer	Net Short Position	Position Date	Origin

Apollo Endosurgery Inc YCharts
Yahoo! Finance	finviz
SEC Web Site	SEC DEF 14A Filings

Apollo Endosurgery Inc (APEN)

Funds Holding APEN (via 13F filings)

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Mutual Funds Holding APEN BETA

Active Schedule 13D and 13G filings

Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

Open Market Sells (S)

Exercise Derivative Conversion (M)

Current/Former Insiders

Insider Transactions Last 60 Days

IBR Securities Loan Availability

Current Active Short Positions

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