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PTV SCIENCES II L P 4

Accession 0000899243-17-022528

CIK 0001251769other

View on SEC.gov Company Profile

Filed

Sep 24, 8:00 PM ET

Accepted

Sep 25, 3:50 PM ET

Size

27.4 KB

Accession

0000899243-17-022528

Insider Transaction Report

Form 4

Period: 2017-09-05

Apollo Endosurgery, Inc.APEN

PTV SCIENCES II L P

10% Owner

Transactions

Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV IV, L.P.)
1,347,565
Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712

PTV GP III Management, LLC

10% Owner

Transactions

Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV IV, L.P.)
1,347,565
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712

PTV GP Evergreen, L.P.

10% Owner

Transactions

Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV IV, L.P.)
1,347,565
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712

PTV IV, L.P.

10% Owner

Transactions

Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV IV, L.P.)
1,347,565
Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712

Pinto Technology Ventures GP II, L.P.

10% Owner

Transactions

Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712
Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV IV, L.P.)
1,347,565

PTV Evergreen Fund, L.P.

10% Owner

Transactions

Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712
Common Stock
(indirect: By PTV IV, L.P.)
1,347,565

PTV Special Opportunities I, L.P.

10% Owner

Transactions

Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV IV, L.P.)
1,347,565
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712

PTV GP IV, L.P.

10% Owner

Transactions

Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV IV, L.P.)
1,347,565
Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712

Pinto TV GP CO LLC

10% Owner

Transactions

Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186
Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712
Common Stock
(indirect: By PTV IV, L.P.)
1,347,565

PTV GP SO I, L.P.

10% Owner

Transactions

Purchase
Common Stock
2017-09-05$4.04/sh+41,000$165,640→ 1,131,909 total(indirect: By PTV Evergreen Fund, L.P.)
Purchase
Common Stock
2017-09-12$3.85/sh+135,000$519,750→ 1,266,909 total(indirect: By PTV Evergreen Fund, L.P.)

Holdings

Common Stock
(indirect: By PTV Special Opportunities I, L.P.)
605,712
Common Stock
(indirect: By PTV IV, L.P.)
1,347,565
Common Stock
(indirect: By PTV Sciences II, L.P.)
2,199,186

Footnotes (4)

[F1]These securities are owned by PTV Evergreen Fund, L.P. ("PTV EG"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP Evergreen, L.P. ("PTV GP EG"), which is the sole general partner of PTV EG. Accordingly, PTV GP EG and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV EG. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV EG. Each of PTV GP EG and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
[F2]These securities are owned by PTV Sciences II, L.P. ("PTV II"). Pinto TV GP Company LLC ("PTV GPC") is the sole general partner of Pinto Technology Ventures GP II, L.P. ("PTV GP II"), which is the sole general partner of PTV II. Accordingly, PTV GP II and PTV GPC may be deemed to have voting and investment control over the shares owned by PTV II. The managers of PTV GPC are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV II. Each of PTV GP II and PTV GPC disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
[F3]These securities are owned by PTV IV, L.P. ("PTV IV"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP IV, L.P. ("PTV GP IV"), which is the sole general partner of PTV IV. Accordingly, PTV GP IV and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV IV. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV IV. Each of PTV GP IV and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
[F4]These securities are owned by PTV Special Opportunities I, L.P. ("PTV SO"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP SO I, L.P. ("PTV GP SO"), which is the sole general partner of PTV SO. Accordingly, PTV GP SO and PTV GPM may be deemed to have voting and investment control over the shares owned by PTV SO. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV SO. Each of PTV GP SO and PTV GPM disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Apollo Endosurgery, Inc.

CIK 0001251769

→

Entity typeother

Related Parties

filerCIK 0001364349

Filing Metadata

Form type: 4
Filed: Sep 24, 8:00 PM ET
Accepted: Sep 25, 3:50 PM ET
Size: 27.4 KB

View on SEC.gov