Anderson Rick D 4
4 · Apollo Endosurgery, Inc. · Filed Jul 26, 2017
Insider Transaction Report
Form 4
PTV SCIENCES II L P
10% Owner
Transactions
- Purchase
Common Stock
2017-07-25$5.50/sh+1,090,909$6,000,000→ 5,243,372 total
Footnotes (3)
- [F1]These securities are held directly by PTV Evergreen Fund, LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV Evergreen Fund, LP. The Managing Directors of PTV Healthcare Capital have shared voting and investment control over the shares owned by PTV Evergreen Fund, LP.
- [F2]Includes (i) 1,347,565 shares of common stock held by PTV IV, L.P., (ii) 605,712 shares of common stock held by PTV Special Opportunities I, L.P., (iii) 2,199,186 shares of common stock held by PTV Sciences II, L.P., and (iv) 1,090,909 shares held by PTV Evergreen Fund LP. PTV Healthcare Capital has sole voting and investment control over the shares owned by PTV IV, L.P., PTV Special Opportunities I, L.P., PTV Sciences II, L.P., and PTV Evergreen Fund, LP.
- [F3]Matthew Crawford and Rick Anderson, both directors of the Issuer, are Managing Partner and Managing Director, respectively, of PTV Healthcare Capital and may be deemed to be the beneficial owner of the securities held by PTV IV, L.P., PTV Sciences II, L.P., PTV Special Opportunities I, L.P., and PTV Evergreen Fund, LP. Messrs. Crawford and Anderson are both directors of the Issuer and, accordingly, file separate Section 16 reports.