Mike Gutteridge - Feb 25, 2022 Form 4/A - Amendment Insider Report for Apollo Endosurgery, Inc. (APEN)

Role
VP, Int'l Sales and Marketing
Signature
/s/ Brian Szymczak - Attorney-in-Fact
Stock symbol
APEN
Transactions as of
Feb 25, 2022
Transactions value $
$0
Form type
4/A - Amendment
Date filed
3/10/2022, 04:53 PM
Date Of Original Report
Mar 1, 2022
Previous filing
Mar 10, 2022
Next filing
Apr 4, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APEN Common Stock Award $0 +22.6K +54.88% $0.00 63.8K Feb 25, 2022 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction APEN Stock Option (Right to Buy) Award $0 +11.6K $0.00 11.6K Feb 25, 2022 Common Stock 11.6K $5.63 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the grant of Restricted Stock Units ("RSUs"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock pursuant to the Issuer's 2017 Equity Incentive Plan (the "Plan"). The RSUs vest in equal annual installments over four years commencing on the grant date, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Plan.
F2 The shares underlying the option shall vest as to 25% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Plan.
F3 The number of shares listed in this column does not include other outstanding equity awards granted with different exercise prices, vesting conditions and other terms.

Remarks:

Added footnote 3.