Neil Gagnon - Oct 15, 2021 Form 4 Insider Report for Apollo Endosurgery, Inc. (APEN)

Role: 10%+ Owner
Signature: /s/ Neil Gagnon
Stock symbol: APEN
Transactions as of: Oct 15, 2021
Transactions value $: $0
Form type: 4
Date filed: 10/18/2021, 04:26 PM
Previous filing: Oct 4, 2021
Next filing: Jan 27, 2022

Transactions Table

Type	Sym	Class	Shares After	Date	Ownership	Footnotes
holding	APEN	Common Stock, $0.001 par value per share	414K	Oct 15, 2021	Direct
holding	APEN	Common Stock, $0.001 par value per share	85K	Oct 15, 2021	By Limited Partner of the Family Partnership
holding	APEN	Common Stock, $0.001 par value per share	1.33M	Oct 15, 2021	By Managing Member as General Partner of Gagnon Investment Associates	F1
holding	APEN	Common Stock, $0.001 par value per share	116K	Oct 15, 2021	By Managing Member as General Partner of Darwin Partnership	F1
holding	APEN	Common Stock, $0.001 par value per share	26.4K	Oct 15, 2021	By self as Trustee of Gagnon Securities LLC Profit Sharing Plan	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Neil Gagnon is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id	Content
F1	Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Content

Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.