Apollo Endosurgery Inc (APEN)

HEALTH CARE: BIOTECHNOLOGY & LIFE SCIENCES
SIC: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS

1120 SOUTH CAPITAL OF TX HWY AUSTIN, TX 78746

Lpath, Inc., a biotechnology company, focuses on the discovery and development of lipidomic-based therapeutics that targets bioactive signaling lipids to treat human diseases. The company's drug development programs include Sphingomab, a humanized monoclonal antibody for the treatment of cancer, age-related macular degeneration, and heart failure; and Lpathomab, a monoclonal antibody, which works against lysophosphatidic acid, a bioactive lipid that promotes cancer-cell growth and metastasis in a range of tumor types.

Data as of 2021-01-23
Market Cap100.553 Million Shares Outstanding25.784 Million Avg 30-day Volume169.891 Thousand
P/E Ratio-3.2 Dividend Yield EPS-1.24
Price/Sales3.445 Price cash flow ratio Price free cash flow ratio-5.6
Book Value0.4 Price to Tangible Book-76.97 Alpha-0.02
Short Interest Ratio % Short Interest to Float R-squared0.111173
BETA2.16136 52-week High/Low5.15 / 1.24 Stddev0.28524

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View SEC Filings from APEN instead.
Q3 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 0 2 -100.0% 0 (0.0%) 1 (0.06%) -100.0%
Funds Holding: 30 32 -6.25% 12 (0.79%) 13 (0.84%) -7.69%
13F shares: 11.135 Million 8.869 Million 25.55% 8.421 Million 6.356 Million 32.5%
% Ownership 47.0306 37.4598 25.55% 35.5691 26.844 32.5%
New Positions: 1 3 -66.67%
Increased Positions 9 8 12.5% 4 3 33.33%
Closed Positions 3 2 50.0% 1 1 0.0%
Reduced Positions 6 9 -33.33% 3 4 -25.0%
Total Calls 0 0
Total Puts 0 0
PUT/CALL Ratio
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding APEN (via 13F filings)

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*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

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

10.8 Thousand total shares from 2 transactions

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

CAVANAUGH STEFANIE L. CFO, TREASURER, SECRETARY

  • Officer
 81,879 2021-01-06 2

NEWTON TODD CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
 412,306 2021-01-05 2

GAGNON NEIL

  • 10% Owner
 1,700,900 2020-10-28 2

MCGAUGHY R KENT JR

3,109,512 2020-07-17 1

CPMG INC

3,109,512 2020-07-17 1

CRAWFORD MATTHEW S

  • Director
 3,302,674 2020-05-26 1

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
 2,811,241 2020-05-26 1

SCHWARTZHOFF BRET VP, US SALES & MARKETING

  • Officer
 88,841 2020-05-07 1

MCCLELLAN WILLIAM D. JR.

  • Director
 21,137 2020-05-07 1

GOSTOUT CHRISTOPHER J. CHIEF MEDICAL OFFICER

  • Officer
 67,327 2020-05-07 1

PACITTI DAVID

  • Director
 18,742 2020-05-07 1

MOLESPHINI JOHN J EVP, OPERATIONS

  • Officer
 61,371 2020-05-07 1

SHIMER JULIE ANN

  • Director
 17,909 2020-05-07 1

BARR JOHN R

  • Director
 15,970 2020-05-07 1

TRAWEEK JAMES W JR

1,329,512 2020-01-02 0

STONEPINE CAPITAL, L.P.

  • 10% Owner
 1,580,518 2019-08-12 0

MEELIA RICHARD J

  • Director
 11,367 2018-02-28 0

ANDERSON RICK D

  • Director
  • 10% Owner
 4,202,140 2017-11-15 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 1

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 0

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

SWORTWOOD DONALD

  • Director
 No longer subject to file 2016-12-29 0

MATHEWS CHARLES

  • Director
 No longer subject to file 2016-12-29 0

FERRELL JEFFREY

  • 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

PETREE DANIEL H

  • Director
 No longer subject to file 2016-12-29 0

KISNER DANIEL L

  • Director
 No longer subject to file 2016-12-29 0

ROBERTSON BRUCE C

  • Director
 0 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

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

NIELSEN JACK

  • Director
 0 2016-12-29 0

WOODNUTT GARY CHIEF SCIENTIFIC OFFCER

  • Officer
 0 2016-02-16 0

PAGGIARINO DARIO A. CHIEF DEVELOPMENT OFFICER

  • 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
 12,105,311 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

CAVANAUGH STEFANIE L. - Officer CFO, TREASURER, SECRETARY

2021-01-07 16:36:09 -0500 2021-01-06 J 218 a 81,879 direct

NEWTON TODD - Director - Officer CHIEF EXECUTIVE OFFICER

2021-01-07 16:36:28 -0500 2021-01-05 J 3,479 a 412,306 direct

GAGNON NEIL - > 10% Owner by self as trustee of gagnon securities llc profit sharing plan

2020-12-17 18:49:52 -0500 2020-12-16 S 2,488 $4.16 a 14,656 indirect

GAGNON NEIL - > 10% Owner

2020-12-17 18:49:52 -0500 2020-12-16 S 8,314 $4.16 a 351,043 direct

* -

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

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