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PTV SCIENCES II L P 4

Accession 0000899243-17-027685

CIK 0001251769other

View on SEC.gov Company Profile

Filed

Nov 29, 7:00 PM ET

Accepted

Nov 30, 4:56 PM ET

Size

30.2 KB

Accession

0000899243-17-027685

Insider Transaction Report

Form 4

Period: 2017-11-15

Apollo Endosurgery, Inc.APEN

PTV GP SO I, L.P.

10% Owner

Transactions

Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, 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

Pinto TV GP CO LLC

10% Owner

Transactions

Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, 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 SCIENCES II L P

10% Owner

Transactions

Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, 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

Pinto Technology Ventures GP II, L.P.

10% Owner

Transactions

Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.)

Holdings

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

PTV Special Opportunities I, L.P.

10% Owner

Transactions

Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, 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 IV, L.P.

10% Owner

Transactions

Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, 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 IV, L.P.

10% Owner

Transactions

Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, 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 Evergreen Fund, L.P.

10% Owner

Transactions

Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−1,266,909→ 0 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 Evergreen, L.P.

10% Owner

Transactions

Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.)

Holdings

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

PTV GP III Management, LLC

10% Owner

Transactions

Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.)
Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, L.P.)
Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, 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

Footnotes (7)

[F1]Represents in-kind distribution by PTV Evergreen Fund, L.P. to its partners (including PTV GP Evergreen, L.P.) without consideration.
[F2]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 its pecuniary interest therein.
[F3]These securities are owned by PTV GP EG. PTV GPM is the sole general partner of PTV GP EG. Accordingly, PTV GPM may be deemed to have voting and investment control over the shares owned by PTV GP 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 GP EG. PTV GPM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.
[F4]Represents in-kind distribution by PTV GP EG to its partners without consideration.
[F5]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 its pecuniary interest therein.
[F6]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. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. Each of PTV GP IV and PTV GPM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.
[F7]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. The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. Each of PTV GP SO and PTV GPM disclaims beneficial ownership of such shares except to the extent of its 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: Nov 29, 7:00 PM ET
Accepted: Nov 30, 4:56 PM ET
Size: 30.2 KB

View on SEC.gov