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PTV SCIENCES II L P 4

Accession 0000899243-20-016954

CIK 0001251769other

View on SEC.gov Company Profile

Filed

Jun 17, 8:00 PM ET

Accepted

Jun 18, 6:05 AM ET

Size

24.6 KB

Accession

0000899243-20-016954

Insider Transaction Report

Form 4

Period: 2020-05-26

Apollo Endosurgery, Inc.APEN

PTV SCIENCES II L P

10% Owner

Transactions

Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, 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

PTV IV, L.P.

10% Owner

Transactions

Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, 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

PTV GP IV, L.P.

10% Owner

Transactions

Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, 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

PTV GP SO I, L.P.

10% Owner

Transactions

Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, 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

Pinto TV GP CO LLC

10% Owner

Transactions

Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, 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

PTV Special Opportunities I, L.P.

10% Owner

Transactions

Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, 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

Pinto Technology Ventures GP II, L.P.

10% Owner

Transactions

Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, 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

PTV GP III Management, LLC

10% Owner

Transactions

Other
Common Stock
2020-05-26+245,444→ 245,444 total(indirect: By Pinto Technology Ventures GP II, L.P.)
Other
Common Stock
2020-05-26−1,341,222→ 857,964 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-05-26−245,444→ 0 total(indirect: By Pinto Technology Ventures GP II, 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

Footnotes (7)

[F1]Represents in-kind distribution by PTV Sciences II, L.P. to its partners (including Pinto Technology Ventures GP II, L.P.) without consideration.
[F2]These securities are owned by PTV Sciences II, L.P. ("PTV II").
[F3]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. Matthew S. Crawford is the sole manager of PTV GPC. PTV GP II, PTV GPC and Mr. Crawford may be deemed to have voting and investment control over the shares owned by PTV II and PTV GP II. Each of PTV GP II and PTV GPC disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.
[F4]These securities are owned by PTV GP II.
[F5]Represents in-kind distribution by PTV GP II to its partners without consideration.
[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. Matthew S. Crawford is the sole manager of PTV GPM. PTV GP IV, PTV GPM and Mr. Crawford may be deemed to have voting and investment control over the shares owned by PTV IV. Each of the Reporting Persons 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. Matthew S. Crawford is the sole manager of PTV GPM. PTV GP SO, PTV GPM and Mr. Crawford may be deemed to have voting and investment control over the shares owned by PTV SO. Each of the Reporting Persons 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: Jun 17, 8:00 PM ET
Accepted: Jun 18, 6:05 AM ET
Size: 24.6 KB

View on SEC.gov