Chas McKhann - 14 Jun 2022 Form 4 Insider Report for Apollo Endosurgery, Inc.

Role: President and CEO, Director
Signature: /s/ Brian Szymczak - Attorney-in-Fact
Issuer symbol: N/A
Transactions as of: 14 Jun 2022
Net transactions value: $0
Form type: 4
Filing time: 16 Jun 2022, 21:17:40 UTC
Previous filing: 09 May 2022
Next filing: 04 Apr 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	APEN	Common Stock	Award	$0	+112,607	+20%	$0.000000	689,880	14 Jun 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	+459,170		$0.000000	459,170	14 Jun 2022	Common Stock	459,170	$3.95	Direct	F2

* 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 Apollo Endosurgery, Inc. 2017 Equity Incentive Plan.

Content

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.

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 Apollo Endosurgery, Inc. 2017 Equity Incentive Plan.