4//SEC Filing
Anderson Rick D 4
Accession 0000899243-17-027684
CIK 0001251769other
Filed
Nov 29, 7:00 PM ET
Accepted
Nov 30, 4:55 PM ET
Size
15.4 KB
Accession
0000899243-17-027684
Insider Transaction Report
Form 4
Anderson Rick D
Director10% Owner
Transactions
- Other
Common Stock
2017-11-15−12,669→ 0 total(indirect: By PTV GP Evergreen, L.P.) - Other
Common Stock
2017-11-15+12,669→ 12,669 total(indirect: By PTV GP Evergreen, L.P.) - Other
Common Stock
2017-11-15−1,266,909→ 0 total(indirect: By PTV Evergreen Fund, L.P.) - Other
Common Stock
2017-11-15+4,223→ 49,677 total
Holdings
- 2,199,186(indirect: By PTV Sciences II, L.P.)
Common Stock
- 605,712(indirect: By PTV Special Opportunities I, L.P.)
Common Stock
- 1,347,565(indirect: By PTV IV, L.P.)
Common Stock
Footnotes (7)
- [F1]Represents in-kind distribution by PTV Evergreen Fund, L.P. to its partners (including PTV GP Evergreen, L.P.) without consideration.
- [F2]These securities are owned by PTV Evergreen Fund, L.P. ("PTV EG"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP Evergreen, L.P. ("PTV GP EG"), which is the sole general partner of PTV EG. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV EG. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- [F3]These securities are owned by PTV GP EG. PTV GPM is the sole general partner of PTV GP EG. Accordingly, PTV GPM may be deemed to have voting and investment control over the shares owned by PTV GP EG. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV GP EG. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- [F4]Represents in-kind distribution by PTV GP EG to its partners (including the Reporting Person) without consideration.
- [F5]These securities are owned by PTV Sciences II, L.P. ("PTV II"). Pinto TV GP Company LLC ("PTV GPC") is the sole general partner of Pinto Technology Ventures GP II, L.P. ("PTV GP II"), which is the sole general partner of PTV II. The managers of PTV GPC are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV II. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- [F6]These securities are owned by PTV IV, L.P. ("PTV IV"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP IV, L.P. ("PTV GP IV"), which is the sole general partner of PTV IV. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV IV. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- [F7]These securities are owned by PTV Special Opportunities I, L.P. ("PTV SO"). PTV GP III Management, LLC ("PTV GPM") is the sole general partner of PTV GP SO I, L.P. ("PTV GP SO"), which is the sole general partner of PTV SO. The managers of PTV GPM are Matthew S. Crawford and Rick D. Anderson, who may be deemed to share voting and investment control over the shares owned by PTV SO. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Documents
Issuer
Apollo Endosurgery, Inc.
CIK 0001251769
Entity typeother
Related Parties
1- filerCIK 0001445999
Filing Metadata
- Form type
- 4
- Filed
- Nov 29, 7:00 PM ET
- Accepted
- Nov 30, 4:55 PM ET
- Size
- 15.4 KB