Traweek James W JR 4
4 · Apollo Endosurgery, Inc. · Filed Jan 6, 2020
Insider Transaction Report
Form 4
Traweek James W JR
10% Owner
Transactions
- Other
Class A common stock
2020-01-02+15,244→ 15,244 total(indirect: By Killdeer Fund, LP) - Other
Class A common stock
2020-01-02+38,108→ 507,208 total(indirect: By Roadrunner Fund, LP) - Other
Class A common stock
2020-01-02+3,811→ 297,120 total(indirect: By Curlew Fund, LP)
Holdings
- 45,594(indirect: By Crested Crane, LP)
Class A common stock
- 400,675(indirect: By Mallard Fund, LP)
Class A common stock
- 63,671(indirect: By Kestrel Fund, LP)
Class A common stock
Footnotes (2)
- [F1]CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the securities owned by each Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Killdeer Fund, LP, and Roadrunner Fund, LP (each, a "Fund"). The Reporting Person is a Managing Director of CPMG, Inc. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [F2]Pursuant to the terms of the Issuer's 6.0% Convertible Debentures due 2024 ("Notes"), the semi-annual interest payment due on the Notes was paid by the Issuer in shares of the Issuer's common stock, based on the interest rate of 6.00% per year and the average volume-weighted average price, or VWAP, of the Issuer's common stock for the 10 consecutive trading days immediately preceding the interest payment date.