| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | APEN | Common Stock | Disposed to Issuer | -39.2K | -100% | 0 | Apr 4, 2023 | Direct | F1, F2 | ||
| transaction | APEN | Common Stock | Disposed to Issuer | -2K | -100% | 0 | Apr 4, 2023 | by Trust | F1, F3 |
| 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) | Disposed to Issuer | -1.44K | -100% | 0 | Apr 4, 2023 | Common Stock | 1.44K | $3.36 | Direct | F4 | ||
| transaction | APEN | Non-Qualified Stock Option (right to buy) | Disposed to Issuer | -4.84K | -100% | 0 | Apr 4, 2023 | Common Stock | 4.84K | $6.50 | Direct | F4 | ||
| transaction | APEN | Stock Option (Right to Buy) | Disposed to Issuer | -9.85K | -100% | 0 | Apr 4, 2023 | Common Stock | 9.85K | $6.58 | Direct | F4 | ||
| transaction | APEN | Non-Qualified Stock Option (right to buy) | Disposed to Issuer | -16.5K | -100% | 0 | Apr 4, 2023 | Common Stock | 16.5K | $3.27 | Direct | F4 | ||
| transaction | APEN | Stock Option (Right to Buy) | Disposed to Issuer | -28.4K | -100% | 0 | Apr 4, 2023 | Common Stock | 28.4K | $2.08 | Direct | F4 | ||
| transaction | APEN | Non-Qualified Stock Option (right to buy) | Disposed to Issuer | -5.27K | -100% | 0 | Apr 4, 2023 | Common Stock | 5.27K | $8.86 | Direct | F4 | ||
| transaction | APEN | Stock Option (Right to Buy) | Disposed to Issuer | -19.3K | -100% | 0 | Apr 4, 2023 | Common Stock | 19.3K | $3.95 | Direct | F4 |
William D. McClellan Jr. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | Reflects the disposition of the reporting person's 25,025 (directly owned) and 2,000 (indirectly owned) shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. |
| F2 | Reflects the disposition of the reporting person's 14,224 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. |
| F3 | Includes 2,000 shares of Issuer Common Stock inadvertently omitted from the reporting person's Form 4 filed on August 20, 2019 and the holdings in the reporting person's subsequently filed Form 4s. |
| F4 | Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |