Home/Filings/4/0001104659-21-033846

4//SEC Filing

PTV Special Opportunities I, L.P. 4

Accession 0001104659-21-033846

CIK 0001251769other

View on SEC.gov Company Profile

Filed

Mar 8, 7:00 PM ET

Accepted

Mar 9, 4:37 PM ET

Size

35.0 KB

Accession

0001104659-21-033846

Insider Transaction Report

Form 4

Period: 2020-10-30

Apollo Endosurgery, Inc.APEN

PTV SCIENCES II L P

10% Owner

Transactions

Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)
Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)

PTV IV, L.P.

10% Owner

Transactions

Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)

PTV Special Opportunities I, L.P.

10% Owner

Transactions

Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)

PTV GP SO I, L.P.

10% Owner

Transactions

Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)

PTV GP IV, L.P.

10% Owner

Transactions

Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)

Pinto Technology Ventures GP II, L.P.

10% Owner

Transactions

Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)
Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)

Pinto TV GP CO LLC

10% Owner

Transactions

Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)

PTV GP III Management, LLC

10% Owner

Transactions

Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By PTV Sciences II, L.P.)
Other
Common Stock
2020-10-30−857,964→ 0 total(indirect: By LLC)
Other
Common Stock
2021-02-24+13,473→ 13,473 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24+6,055→ 6,055 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−6,055→ 0 total(indirect: PTV GP IV, L.P.)
Other
Common Stock
2021-02-24−605,712→ 605,712 total(indirect: By PTV Special Opportunities I, L.P.)
Other
Common Stock
2020-10-30+857,964→ 857,964 total(indirect: By LLC)
Other
Common Stock
2021-02-24−1,347,565→ 0 total(indirect: By PTV IV, L.P.)
Other
Common Stock
2021-02-24−13,473→ 0 total(indirect: PTV GP IV, L.P.)

Footnotes (16)

[F1]Represents shares transferred by PTV Sciences II, L.P. ("PTV II") to PTV GP III Management, LLC ("PTV GP3M") in satisfaction of $1,501,437 of management fees due to PTV GP3M (as approved by the PTV II advisory board).
[F10]These securities are owned by PTV GP IV.
[F11]Represents an in-kind distribution by PTV GP IV to its partners without consideration.
[F12]Represents an in-kind distribution by PTV Special Opportunities I, L.P. ("PTV SO") to its partners without consideration.
[F13]These securities are owned by PTV SO.
[F14]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. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
[F15]These securities are owned by PTV GP SO.
[F16]Represents an in-kind distribution by PTV GP SO to its partners 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. Accordingly, 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. Mr. Crawford disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.
[F4]These securities are owned by PTV GP3M.
[F5]Matthew S. Crawford is the sole manager of PTV GP3M. Accordingly, PTV GP3M and Mr. Crawford may be deemed to have voting and investment control over the shares owned by PTV GP3M. Mr. Crawford disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
[F6]Represents an in-kind distribution by PTV GP3M to its members without consideration.
[F7]Represents an in-kind distribution by PTV IV, L.P. ("PTV IV") to its partners without consideration.
[F8]These securities are owned by PTV IV.
[F9]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. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Documents

1 file

4
tm219077-1_4seq1.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

Apollo Endosurgery, Inc.

CIK 0001251769

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001588122

Filing Metadata

Form type: 4
Filed: Mar 8, 7:00 PM ET
Accepted: Mar 9, 4:37 PM ET
Size: 35.0 KB

View on SEC.gov