Key facts
- This page summarizes Neil Gagnon's Form 4 filing for Apollo Endosurgery, Inc..
- 0 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 18 Oct 2021, 16:26.
Neil Gagnon - 15 Oct 2021 Form 4 Insider Report for Apollo Endosurgery, Inc.
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- N/A
- Reported as of
- 15 Oct 2021
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 18 Oct 2021, 16:26:47 UTC
- Prior SEC filing
- 04 Oct 2021
- Next SEC filing
- 27 Jan 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Neil Gagnon
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Neil Gagnon filed Form 4 for Apollo Endosurgery, Inc. on 18 Oct 2021.
Change
- Previous filing in this sequence was filed on 04 Oct 2021.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
APEN
holding
Common Stock, $0.001 par value per share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 413,962
- Date
- 15 Oct 2021
- Ownership
- Direct
APEN
holding
Common Stock, $0.001 par value per share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 85,015
- Date
- 15 Oct 2021
- Ownership
- By Limited Partner of the Family Partnership
APEN
holding
Common Stock, $0.001 par value per share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 1,329,354
- Date
- 15 Oct 2021
- Ownership
- By Managing Member as General Partner of Gagnon Investment Associates
- Footnotes
- F1
APEN
holding
Common Stock, $0.001 par value per share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 116,360
- Date
- 15 Oct 2021
- Ownership
- By Managing Member as General Partner of Darwin Partnership
- Footnotes
- F1
APEN
holding
Common Stock, $0.001 par value per share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 26,446
- Date
- 15 Oct 2021
- Ownership
- By self as Trustee of Gagnon Securities LLC Profit Sharing Plan
- Footnotes
- F1
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
Neil Gagnon is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 1 footnote
Footnote F1
Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.