Mike Gutteridge - Feb 15, 2022 Form 3/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 15, 2022
Transactions value $
$0
Form type
3/A - Amendment
Date filed
3/10/2022, 04:53 PM
Date Of Original Report
Mar 1, 2022
Next filing
Mar 10, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding APEN Common Stock 22.8K Feb 15, 2022 Direct
holding APEN Common Stock 21.4K Feb 15, 2022 Direct F1
holding APEN Common Stock 19.8K Feb 15, 2022 Direct F2

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
holding APEN Stock Option (Right to Buy) Feb 15, 2022 Common Stock 14K $6.50 Direct F3
holding APEN Stock Option (Right to Buy) Feb 15, 2022 Common Stock 25.5K $4.37 Direct F4
holding APEN Stock Option (Right to Buy) Feb 15, 2022 Common Stock 22.7K $3.49 Direct F4
holding APEN Stock Option (Right to Buy) Feb 15, 2022 Common Stock 22.2K $2.08 Direct F5
holding APEN Stock Option (Right to Buy) Feb 15, 2022 Common Stock 14.8K $5.95 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents grants of Restricted Stock Units (the "RSU Awards") payable solely in common stock of the Issuer. The shares subject to the RSU Awards shall vest over a four-year period at the rate of 25% per year.
F2 Represents grants of "RSU Awards" payable solely in common stock of the Issuer. The shares subject to the RSU Awards shall vest over a three-year period at the rate of 33% per year.
F3 The shares underlying the performance based option vested 25% on 1/2/2018 and the remainder will vest in equal monthly installments over the following three years.
F4 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.
F5 The shares underlying the option shall vest as to 33% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following two years.

Remarks:

Corrected Table I breakout and footnotes, and corrected Table II footnotes.