R. Kent Jr McGaughy - Oct 15, 2021 Form 4 Insider Report for Apollo Endosurgery, Inc. (APEN)

Role
Director, 10%+ Owner
Signature
/s/ R. Kent McGaughy, Jr.
Stock symbol
APEN
Transactions as of
Oct 15, 2021
Transactions value $
$5,300,000
Form type
4
Date filed
10/19/2021, 06:41 PM
Previous filing
Jun 14, 2021
Next filing
Jan 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APEN Class A common stock Purchase $300K +38.7K +8.02% $7.75 522K Oct 15, 2021 By Curlew Fund, LP F1, F2, F3
transaction APEN Class A common stock Purchase $2M +258K +58.92% $7.75 696K Oct 15, 2021 By Killdeer Fund, LP F1, F2, F4
transaction APEN Class A common stock Purchase $3M +387K +21.94% $7.75 2.15M Oct 15, 2021 By Roadrunner Fund, LP F1, F2, F5
holding APEN Class A common stock 45.6K Oct 15, 2021 By Crested Crane, LP F1
holding APEN Class A common stock 63.7K Oct 15, 2021 By Kestrel Fund, LP F1
holding APEN Class A common stock 401K Oct 15, 2021 By Mallard Fund, LP F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). The Reporting Person is the Managing Director of CPMG, Inc. In such capacity, the Reporting Person may be deemed to exercise voting and investment control over the securities owned by each of the Funds. 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 (the "Exchange Act"), or for any other purpose.
F2 These shares were acquired in an underwritten registered follow-on offering by the Issuer that closed on October 15, 2021.
F3 This amount includes an aggregate 5,692 shares issued by the Issuer to the Curlew Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Curlew Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
F4 This amount includes an aggregate 22,763 shares issued by the Issuer to the Killdeer Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Killdeer Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).
F5 This amount includes an aggregate 56,904 shares issued by the Issuer to the Roadrunner Fund, LP since the last Form 4 filed by the Reporting Person on July 21, 2020, as the semi-annual interest payments, in January 2021 and in July 2021, on the 6.0% Convertible Debentures due 2024 held by the Roadrunner Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a).