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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Apollo Endosurgery Inc
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| May 8, 2023 |
AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G EXHIBIT 1 AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. |
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| May 8, 2023 |
APEN / Apollo Endosurgery Inc / CITIGROUP INC - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 1)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D-10-8 (CUSIP Number) April 30, 2023 (Date of Event Which Requi |
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| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-35706 Apollo Endosurgery, Inc. (Exact name of registrant as specified i |
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| April 5, 2023 |
APEN / Apollo Endosurgery Inc / CPMG Inc - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) John Bateman CPMG, Inc. 4215 West Lovers Lane, Suite 100 Dallas, Texas 75209 214-871-6816 (Name, Address and Telephone Number of Person Authori |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2023 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS 1 d454423ds8pos.htm S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registrat |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
Second Amended and Restated Bylaws of Apollo Endosurgery, Inc. EX-3.2 Exhibit 3.2 SECOND AMENDED AND RESTATED BY-LAWS OF APOLLO ENDOSURGERY, INC. ARTICLE I STOCKHOLDERS Section 1. ANNUAL MEETING. The annual meeting of the stockholders of Apollo Endosurgery, Inc. (the “Corporation”), for the purpose of electing directors and for the transaction of such other business as may be brought before the meeting, shall be held at the principal office of the Corporation |
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| April 4, 2023 |
Third Amended and Restated Certificate of Incorporation of Apollo Endosurgery, Inc. EX-3.1 Exhibit 3.1 THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF APOLLO ENDOSURGERY, INC. 1. The name of the corporation is: Apollo Endosurgery, Inc. (the “Corporation”). 2. The address of the registered office of the Corporation in the State of Delaware is Corporation Service Company, 251 Little Falls Drive, Wilmington, New Castle County, Delaware, 19808. The name of the registered a |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the Securities and Exchange Commission on April 4, 2023 POS AM As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
As filed with the U.S. Securities and Exchange Commission on April 4, 2023 S-8 POS As filed with the U.S. Securities and Exchange Commission on April 4, 2023 Registration No. 333-137318 Registration No. 333-149827 Registration No. 333-190615 Registration No. 333-206299 Registration No. 333-215817 Registration No. 333-218773 Registration No. 333-223461 Registration No. 333-231202 Registration No. 333-237919 Registration No. 333-253568 Registration No. 333-254109 Registrat |
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| April 4, 2023 |
APEN / Apollo Endosurgery Inc / HEDGEHOG CAPITAL LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Apollo Endosurgery, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) March 31, 2023 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which |
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| March 30, 2023 |
Exhibit 4.5 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Apollo Endosurgery, Inc. (“we,” “our,” “us,” or the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): our common stock. General The following summary of the terms of our common stock |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, INC. |
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| February 14, 2023 |
APEN / Apollo Endosurgery Inc / Nantahala Capital Management, LLC - SC 13G/A Passive Investment SC 13G/A 1 tm236168d37sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* APOLLO ENDOSURGERY, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) |
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| February 14, 2023 |
APEN / Apollo Endosurgery Inc / Soleus Capital Master Fund, L.P. - SC 13G/A Passive Investment SC 13G/A 1 d439068dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* APOLLO ENDOSURGERY, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d |
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| February 13, 2023 |
APEN / Apollo Endosurgery Inc / LYTTON LAURENCE W Passive Investment SC 13G/A 1 apollo13ga6.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appr |
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| February 13, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| February 13, 2023 |
APEN / Apollo Endosurgery Inc / Stonepine Capital Management, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 10, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2023 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| February 10, 2023 |
AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G EXHIBIT 1 AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. |
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| February 10, 2023 |
APEN / Apollo Endosurgery Inc / CITIGROUP INC - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. )* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D-10-8 (CUSIP Number) December 31,2022 (Date of Event Which Requ |
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| February 8, 2023 |
APEN / Apollo Endosurgery Inc / Gagnon Neil - SC 13G/A Passive Investment SC 13G/A 1 apollo13ga7.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) February 2, 2023 (Date of Event Which Requires Filing of this Statement) Check |
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| February 6, 2023 |
APEN / Apollo Endosurgery Inc / Gagnon Neil - SC 13G/A Passive Investment SC 13G/A 1 apollo13ga6.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check |
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| February 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| December 30, 2022 |
Exhibit 107 Calculation of Filing Fee Table SCHEDULE 14A (Form Type) Apollo Endosurgery, Inc. |
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| December 30, 2022 |
APEN / Apollo Endosurgery Inc / CPMG Inc - SC 13D/A Activist Investment SC 13D/A 1 brhc10046128sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) John Bateman CPMG, Inc. 4215 West Lovers Lane, Suite 100 Dallas, Texas 75209 214-871-6816 (Name, Add |
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| December 30, 2022 |
PREM14A 1 d429833dprem14a.htm PREM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| December 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 29, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| December 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 29, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| December 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| December 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| December 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| November 30, 2022 |
Exhibit 10.1 Execution Version VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT, dated as of November 29, 2022 (this ?Agreement?), by and among the stockholders listed on the signature page(s) hereto (together with any subsequent stockholders or transferees who become ?Stockholders? pursuant to Section 3, collectively, the ?Stockholders? and each individually, a ?Stockholder?), and B |
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| November 30, 2022 |
DEFA14A 1 d414174ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other j |
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| November 30, 2022 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER among BOSTON SCIENTIFIC CORPORATION, TEXTILE MERGER SUB, INC. and APOLLO ENDOSURGERY, INC. Dated as of November 29, 2022 TABLE OF CONTENTS Page ARTICLE I THE MERGER SECTION 1.01 The Merger 2 SECTION 1.02 Closing 2 SECTION 1.03 Effective Time 2 SECTION 1.04 Effects of the Merger 2 SECTION 1.05 Certificate of Incorporation and By-Laws of the |
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| November 30, 2022 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER among BOSTON SCIENTIFIC CORPORATION, TEXTILE MERGER SUB, INC. and APOLLO ENDOSURGERY, INC. Dated as of November 29, 2022 TABLE OF CONTENTS Page ARTICLE I THE MERGER SECTION 1.01 The Merger 2 SECTION 1.02 Closing 2 SECTION 1.03 Effective Time 2 SECTION 1.04 Effects of the Merger 2 SECTION 1.05 Certificate of Incorporation and By-Laws of the |
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| November 30, 2022 |
DEFA14A 1 d429461ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| November 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| November 30, 2022 |
Exhibit 10.1 Execution Version VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT, dated as of November 29, 2022 (this ?Agreement?), by and among the stockholders listed on the signature page(s) hereto (together with any subsequent stockholders or transferees who become ?Stockholders? pursuant to Section 3, collectively, the ?Stockholders? and each individually, a ?Stockholder?), and B |
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| November 29, 2022 |
Apollo Endosurgery to be Acquired by Boston Scientific EX-99.1 Exhibit 99.1 Apollo Endosurgery to be Acquired by Boston Scientific Boston Scientific to acquire Apollo for $10.00 per share in cash AUSTIN, TX / ACCESSWIRE / November 29, 2022 / Apollo Endosurgery, Inc. (“Apollo”) (NASDAQ:APEN), a leading minimally invasive medical device company for gastrointestinal and bariatric procedures, announced today it has entered into a definitive merger agreeme |
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| November 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| November 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| November 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| November 1, 2022 |
Apollo Endosurgery, Inc. Amended Non-Employee Director Compensation Policy Apollo Endosurgery, Inc. Amended Non-Employee Director Compensation Policy Adopted: March 6, 2017 Amended: September 21, 2022 Each member of the Board of Directors (the “Board”) of Apollo Endosurgery, Inc. (the “Company”) who is a non-employee director of the Company (each such member, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensation Pol |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGE |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| November 1, 2022 |
Exhibit 99.1 Apollo Endosurgery, Inc. Reports Record $19.6 million Global Revenue in Third Quarter 2022 Grew global revenue 20% GAAP, 24% in constant currency Received FDA authorization for Apollo ESGTM and Apollo REVISETM systems for treating patients with obesity AUSTIN, Texas (November 1, 2022) - Apollo Endosurgery, Inc. (“Apollo”) (Nasdaq: APEN), a global leader in less invasive medical device |
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| October 6, 2022 |
THIRD AMENDMENT TO OFFICE LEASE AGREEMENT Exhibit 99.1 THIRD AMENDMENT TO OFFICE LEASE AGREEMENT This Third Amendment to Office Lease Agreement (this ?Amendment?) is executed as of September 30, 2022, between BC EXCHANGE CITYVIEW MASTER TENANT, LLC, a Delaware limited liability company (?Landlord?), and APOLLO ENDOSURGERY, INC., a Delaware corporation (?Tenant?), for the purpose of amending the Office Lease Agreement between Landlord?s pr |
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| October 6, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commis |
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| August 2, 2022 |
Exhibit 99.1 Apollo Endosurgery, Inc. Reports Record Global Revenue in Second Quarter 2022 Grew global revenue 16% (20% in constant currency) as adoption increased across all product lines Secured FDA marketing authorization for Apollo ESGTM and Apollo REVISETM AUSTIN, Texas (August 2, 2022) - Apollo Endosurgery, Inc. (“Apollo”) (Nasdaq: APEN), a global leader in less invasive medical devices for |
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| August 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, I |
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| August 2, 2022 |
Amended and Restated Non-Employee Director Compensation Policy Exhibit 10.1 Apollo Endosurgery, Inc. Amended Non-Employee Director Compensation Policy Adopted: March 6, 2017 Amended: June 14, 2022 Each member of the Board of Directors (the “Board”) of Apollo Endosurgery, Inc. (the “Company”) who is a non-employee director of the Company (each such member, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensa |
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| July 13, 2022 |
Exhibit 99.1 FDA Grants De Novo Marketing Authorization to Apollo Endosurgery for Apollo ESG? and Apollo REVISE?, New Endoscopic Systems for Patients with Obesity Systems Offer Effective, Minimally Invasive Treatment Options for Millions of Patients with Obesity (BMI 30-50 kg/m2) AUSTIN, Texas (July 13, 2022) - Apollo Endosurgery, Inc. (?Apollo?) (NASDAQ: APEN), a global leader in minimally invasi |
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| July 13, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| July 6, 2022 |
Exhibit 99.1 Sharon O?Keefe Joins Apollo Endosurgery Board of Directors Seasoned healthcare leader brings 30 years of hospital system and medical technology expertise AUSTIN, Texas (July 6, 2022) - Apollo Endosurgery, Inc. (?Apollo?) (NASDAQ: APEN), a global leader in minimally invasive medical devices for gastrointestinal and bariatric procedures, announced that Sharon O?Keefe has joined its Boar |
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| July 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| June 14, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| May 3, 2022 |
Exhibit 99.1 Apollo Endosurgery, Inc. Reports 33% U.S. Revenue Growth in First Quarter 2022 Global revenue grew 20% year-over-year as adoption increased across all product lines AUSTIN, Texas (May 3, 2022) - Apollo Endosurgery, Inc. (?Apollo?) (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the fi |
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| May 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, |
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| April 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| April 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| April 4, 2022 |
Exhibit 99.1 Apollo Endosurgery Appoints Jeannette Bankes to Board of Directors Veteran Brings 30 Years of Multinational Healthcare Leadership Experience AUSTIN, Texas (April 4, 2022) - Apollo Endosurgery, Inc. (?Apollo?) (Nasdaq: APEN), a global leader in minimally invasive medical devices for gastrointestinal and bariatric procedures, today announced the appointment of Jeannette Bankes to its Bo |
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| April 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| February 23, 2022 |
As filed with the Securities and Exchange Commission on February 23, 2022. As filed with the Securities and Exchange Commission on February 23, 2022. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of Registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) (I. |
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| February 23, 2022 |
Calculation of Filing Fee Table Form S-8 Apollo Endosurgery, Inc. Table 1 ? Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock Other(3) 1,581,852(2) $5.42(2) $8,573,637.84 0.0000927 $795.00 Total Offering Amounts ? $ |
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| February 22, 2022 |
Exhibit 4.7 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Apollo Endosurgery, Inc. (?we,? ?our,? ?us,? or the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): our common stock. General The following summary of the terms of our common stock |
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| February 22, 2022 |
Exhibit 10.1 APOLLO ENDOSURGERY 2022 BONUS PLAN PURPOSE OF THE PLAN The Apollo Endosurgery Bonus Plan (the ?Plan?) is designed to reward eligible employees for their contributions toward the successful accomplishment of specific financial and strategic business objectives, and individual performance. PERFORMANCE Bonus amounts are determined based on both corporate performance and individual perfor |
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| February 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, INC. |
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| February 22, 2022 |
Apollo Endosurgery, Inc. Reports 50% Revenue Growth in 2021 Exhibit 99.1 Apollo Endosurgery, Inc. Reports 50% Revenue Growth in 2021 ?Increased adoption across all product lines in both U.S. and international ?Grew fourth quarter 2021 revenue 26% AUSTIN, Texas (February 22, 2022) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial res |
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| February 22, 2022 |
Exhibit 10.31 CERTAIN IDENTIFIED INFORMATION, MARKED BY [***], HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (as the same may be amended, restated, modified, or supplemented from time to time, this ?Agreement?) dated as of December 21, 2021 (the ? |
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| February 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| February 15, 2022 |
APEN / Apollo Endosurgery Inc / LYTTON LAURENCE W Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 14, 2022 |
APEN / Apollo Endosurgery Inc / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* APOLLO ENDOSURGERY, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 14, 2022 |
APEN / Apollo Endosurgery Inc / Stonepine Capital Management, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 10, 2022 |
APEN / Apollo Endosurgery Inc / Soleus Capital Master Fund, L.P. - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* APOLLO ENDOSURGERY, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 10, 2022 |
EXHIBIT A JOINT FILING AGREEMENT Soleus Capital Master Fund, L.P., a Cayman Islands exempted limited partnership, Soleus Capital, LLC, a Delaware limited liability company, Soleus Capital Group, LLC, a Delaware limited liability company, and Guy Levy, an individual, hereby agree to file jointly the statement on Schedule 13G/A (Amendment No. 1) to which this Joint Filing Agreement is attached, and |
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| February 3, 2022 |
APEN / Apollo Endosurgery Inc / Gagnon Neil - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| January 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 10, 2022 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| January 10, 2022 |
Exhibit 99.1 Apollo Endosurgery Announces Preliminary 2021 Revenue Results; Reflecting 50% Growth Over 2020 Fourth quarter 2021 revenue grew 25% over 2020 AUSTIN, Texas (January 10, 2022) - Apollo Endosurgery, Inc. (?Apollo? or the ?Company?) (NASDAQ: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced preliminary unaudited revenue |
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| December 21, 2021 |
Exhibit 99.1 Apollo Endosurgery Announces New $100 Million Senior Secured Term Loan Facility from Innovatus Capital Partners, LLC $35 million funded at close to refinance existing debt, extend maturity and lower interest expense Additional borrowing capacity provides minimally dilutive growth capital and strategic flexibility AUSTIN, Texas (December 21, 2021) - Apollo Endosurgery, Inc. (?Apollo?) |
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| December 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| December 20, 2021 |
EXHIBIT A JOINT FILING AGREEMENT Soleus Capital Master Fund, L.P., a Cayman Islands exempted limited partnership, Soleus Capital, LLC, a Delaware limited liability company, Soleus Capital Group, LLC, a Delaware limited liability company, and Guy Levy, an individual, hereby agree to file jointly the statement on Schedule 13G to which this Joint Filing Agreement is attached, and any amendments there |
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| December 20, 2021 |
APEN / Apollo Endosurgery Inc / Soleus Capital Master Fund, L.P. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* APOLLO ENDOSURGERY, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) December 14, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| November 1, 2021 |
Exhibit 99.1 Apollo Endosurgery, Inc. Reports 28% Revenue Growth in Third Quarter Conference Call and Webcast to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (November 1, 2021) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the third qua |
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| November 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGE |
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| November 1, 2021 |
Exhibit 10.2 EMPLOYMENT AGREEMENT for Jeff Black This EMPLOYMENT AGREEMENT (the ?Agreement?) is hereby entered into by and between Apollo Endosurgery, Inc. (the ?Company?) and Jeff Black (?Executive?)(Executive, together with the Company, the ?Parties?). WHEREAS, the Company desires to employ Executive pursuant to the terms, provisions and conditions set forth in this Agreement; and WHEREAS, Execu |
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| November 1, 2021 |
Exhibit 10.1 July 19, 2021 VIA EMAIL/DOCUSIGN Dear Ms. Cavanaugh, As discussed, effective as of the filing date of Apollo Endosurgery, Inc.?s (the ?Company?) Quarterly Report on Form 10-Q for the quarter ended June 30, 2021 (the ?Effective Date?), which is expected to be on or about August 3, 2021, you will cease serving as Chief Financial Officer of Apollo Endosurgery, Inc. (the ?Company?) and wi |
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| November 1, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| October 19, 2021 |
APEN / Apollo Endosurgery Inc / CPMG Inc - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) John Bateman CPMG, Inc. 2000 McKinney Ave, Suite 2125 Dallas, Texas 75201 214-871-6816 (Name, Address and Telephone Number of Person Authorized |
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| October 14, 2021 |
EX-1.1 2 ex11202110pricing.htm EX-1.1 EXECUTION VERSION 8,400,000 Shares1 Apollo Endosurgery, Inc. Common Stock PURCHASE AGREEMENT October 12, 2021 PIPER SANDLER & CO. COWEN AND COMPANY, LLC STIFEL, NICOLAUS & COMPANY, INCORPORATED As Representatives of the several Underwriters named in Schedule I hereto c/o Piper Sandler & Co. U.S. Bancorp Center 800 Nicollet Mall Minneapolis, Minnesota 55402 c/o |
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| October 14, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| October 13, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255786 Prospectus Supplement (To Prospectus dated May 19, 2021) 8,400,000 Shares Common Stock We are offering 8,400,000 shares of common stock. Our common stock is listed on The Nasdaq Global Market under the symbol ?APEN.? On October 12, 2021, the last reported sale price of our common stock on The Nasdaq Global Market was $8 |
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| October 12, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| October 12, 2021 |
O C T O B E R 2 0 2 1 Transforming therapeutic endoscopy Forward Looking Statements & Regulatory Advisory Forward Looking Statements: Certain statements in this presentation are forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Exchange Act of 1934, as amended, that are subject to risks and uncertainties that could cause results to be materially different than expectations. |
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| October 12, 2021 |
SUBJECT TO COMPLETION, DATED OCTOBER 12, 2021 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255786 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to the securities offered hereby has been declared effective by the Securities and Exchange Commission under the Securities Act of 1933, as amended. This preliminary prospectus supplement and a |
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| October 7, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 7, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissio |
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| October 7, 2021 |
Exhibit 99.1 Apollo Endosurgery Announces Preliminary Third Quarter 2021 Financial Results and Provides Business Updates ?Revenue expected between $16.0 million and $16.4 million ?Third consecutive quarter of double-digit revenue growth; endoscopic suturing up over 30% ?Submitted a De Novo 510(k) Classification Request to FDA for Apollo ESG? for weight loss and Apollo REVISE? for prior bariatric s |
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| August 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, I |
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| August 3, 2021 |
Exhibit 99.1 Apollo Endosurgery, Inc. Reports Record Endoscopy Revenue in Second Quarter, Raises Full-Year Outlook Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (August 3, 2021) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial result |
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| August 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| August 3, 2021 |
Exhibit 10.2 SECOND AMENDMENT TO OFFICE LEASE AGREEMENT This Second Amendment to Office Lease Agreement (this ?Amendment?) is executed as of June 18, 2021, 2021, between BC EXCHANGE CITYVIEW MASTER TENANT, LLC, a Delaware limited liability company (?Landlord?), and APOLLO ENDOSURGERY, INC., a Delaware corporation (?Tenant?), for the purpose of amending the Office Lease Agreement between Landlord?s |
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| July 16, 2021 |
Exhibit 99.1 APOLLO ENDOSURGERY APPOINTMENTS JEFFREY G. BLACK AS CHIEF FINANCIAL OFFICER VETERAN EXECUTIVE BRINGS 30 YEARS OF FINANCIAL AND OPERATIONAL LEADERSHIP EXPERIENCE AUSTIN, Texas (July 16, 2021) - Apollo Endosurgery, Inc. (?Apollo? or the ?Company? (Nasdaq: APEN), a global leader in minimally invasive medical devices for gastrointestinal and bariatric procedures, today announced the hirin |
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| July 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 12, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| June 24, 2021 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| June 22, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorpo |
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| June 17, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| May 17, 2021 |
May 17, 2021 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mail Stop 3720 Washington, D.C. 20549 RE: Apollo Endosurgery, Inc. Registration Statement on Form S-3 File No. 333-255786 Ladies and Gentlemen: Apollo Endosurgery, Inc. (the ?Registrant?) hereby requests that the Securities and Exchange Commission (the ?Commission?) take appropriate action to ca |
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| May 7, 2021 |
, 2021, by and between Apollo Endosurgery, Inc. and Exhibit 10.1 May 3, 2021 Bret Schwartzhoff Re: Separation Agreement Dear Bret: This letter sets forth the substance of the separation agreement (the ?Agreement?) that Apollo Endosurgery, Inc. (the ?Company?) is offering to you to aid in your employment transition. 1.Separation Date. If you timely sign and return this Agreement to the Company and allow the releases contained herein to become effect |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorp |
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| May 5, 2021 |
As filed with the U.S. Securities and Exchange Commission on May 5, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) (I.R. |
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| May 5, 2021 |
Form of Common Stock Warrant Agreement and Warrant Certificate. Exhibit 4.6 Apollo Endosurgery, Inc. and , As Warrant Agent Form of Common Stock Warrant Agreement Dated As Of Apollo Endosurgery, Inc. Form of Common Stock Warrant Agreement This Common Stock Warrant Agreement (this ?Agreement?), dated as of [?], between Apollo Endosurgery, Inc., a Delaware corporation (the ?Company?), and [?], a [corporation] [national banking association] organized and existing |
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| May 5, 2021 |
Form of Preferred Stock Warrant Agreement and Warrant Certificate. Exhibit 4.7 Apollo Endosurgery, Inc. and , As Warrant Agent Form of Preferred Stock Warrant Agreement Dated As Of EXHIBIT 4.7 Apollo Endosurgery, Inc. Form of Preferred Stock Warrant Agreement This Preferred Stock Warrant Agreement (this ?Agreement?), dated as of [?], between Apollo Endosurgery, Inc., a Delaware corporation (the ?Company?), and [?], a [corporation] [national banking association] o |
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| May 5, 2021 |
Exhibit 4.4 Apollo Endosurgery, Inc. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [?], 20 Debt Securities Table Of Contents Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee?s Certificate 8 Sec |
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| May 5, 2021 |
Form of Debt Securities Warrant Agreement and Warrant Certificate. Exhibit 4.8 Apollo Endosurgery, Inc. and , As Warrant Agent Form of Debt Securities Warrant Agreement Dated As Of EXHIBIT 4.8 Apollo Endosurgery, Inc. Form of Debt Securities Warrant Agreement This Debt Securities Warrant Agreement (this ?Agreement?), dated as of [?], between Apollo Endosurgery, Inc., a Delaware corporation (the ?Company?), and [?], a [corporation] [national banking association] o |
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| May 4, 2021 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS 29% INCREASE IN FIRST QUARTER REVENUE Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (May 4, 2021) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the first quarter ended Marc |
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| May 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, |
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| May 3, 2021 |
Exhibit 99.1 APOLLO ENDOSURGERY ANNOUNCES APPOINTMENTS TO COMMERCIAL LEADERSHIP TEAM KIRK ELLIS TO SERVE AS VICE PRESIDENT OF US SALES STEVE BOSROCK TO SERVE AS VICE PRESIDENT OF MARKETING & MEDICAL EDUCATION AUSTIN, Texas (May 3, 2021) - Apollo Endosurgery, Inc. (?Apollo? or the ?Company? (Nasdaq: APEN), a global leader in minimally invasive medical devices for gastrointestinal and bariatric proc |
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| May 3, 2021 |
Exhibit 99.1 APOLLO ENDOSURGERY ANNOUNCES APPOINTMENTS TO COMMERCIAL LEADERSHIP TEAM KIRK ELLIS TO SERVE AS VICE PRESIDENT OF US SALES STEVE BOSROCK TO SERVE AS VICE PRESIDENT OF MARKETING & MEDICAL EDUCATION AUSTIN, Texas (May 3, 2021) - Apollo Endosurgery, Inc. (?Apollo? or the ?Company? (Nasdaq: APEN), a global leader in minimally invasive medical devices for gastrointestinal and bariatric proc |
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| May 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| May 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| April 27, 2021 |
Definitive Proxy Statement on Schedule 14A relating to our 2021 Annual Meeting of Stockholders SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 27, 2021 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 25, 2021 |
Exhibit 10.1 APOLLO ENDOSURGERY 2021 BONUS PLAN PURPOSE OF THE PLAN The Apollo Endosurgery Bonus Plan (the ?Plan?) is designed to reward eligible employees for their contributions toward the successful accomplishment of specific financial and strategic business objectives, and individual performance. PERFORMANCE Bonus amounts are determined based on both corporate performance and individual perfor |
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| March 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| March 10, 2021 |
Inducement Stock Option Grant and Award Agreement by and between Apollo Endosurgery, Inc. and Exhibit 99.2 Apollo Endosurgery, Inc. Stock Option Grant Notice (Inducement Grant Outside of the 2017 Equity Incentive Plan) Apollo Endosurgery, Inc. (the ?Company?), as an inducement material to Optionholder entering into employment with the Company, hereby grants to Optionholder an option to purchase the number of shares of the Company?s Common Stock set forth below. This option is granted outsi |
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| March 10, 2021 |
Exhibit 99.3 Apollo Endosurgery, Inc. Restricted Stock Unit Grant Notice (Inducement Grant Outside of the 2017 Equity Incentive Plan) Apollo Endosurgery, Inc. (the ?Company?), as an inducement material to Participant entering into employment with the Company, hereby awards to Participant a Restricted Stock Unit Award for the number of shares of the Company?s Common Stock (?Restricted Stock Units?) |
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| March 10, 2021 |
As filed with the Securities and Exchange Commission on March 10, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of Registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) (I.R.S |
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| March 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D 108 (CUSIP Number) Matthew Crawford PTV Healthcare Capital 3600 N. Capital of Texas Hwy, Suite B180 Austin, TX 78746 Telephone: (512) 872-4000 (Name, Address and |
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| March 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of inco |
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| March 3, 2021 |
, 2021, by and between Apollo Endosurgery, Inc. and Todd Newton. Exhibit 10.2 APOLLO ENDOSURGERY, INC. TRANSITION SERVICES AGREEMENT THIS TRANSITION SERVICES AGREEMENT (the ?Agreement?) is effective as of February 28, 2021 (the ?Effective Date?) by and between Todd Newton, an individual, with a business address of [REDACTED] (the ?Consultant?) and Apollo Endosurgery, Inc., a Delaware corporation (the ?Company?) to be effective as provided herein. WHEREAS, the C |
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| March 3, 2021 |
, 2021, by and between Apollo Endosurgery, Inc. and Todd Newton Exhibit 10.1 SEPARATION AGREEMENT AND RELEASE This Separation Agreement and Release (?Agreement?) is made by and between Todd Newton (?you? or ?your?) and Apollo Endosurgery, Inc. (the ?Company?) (collectively referred to as the ?Parties? or individually referred to as a ?Party?). RECITALS WHEREAS, you were employed by the Company as its Chief Executive Officer; WHEREAS, you signed an Employment A |
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| February 26, 2021 |
As filed with the Securities and Exchange Commission on February 26, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of Registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) (I. |
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| February 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, INC. |
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| February 25, 2021 |
Exhibit 10.23 EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of February 24, 2021 (the ?Amendment Effective Date?), is made by and among Apollo Endosurgery, Inc., a Delaware corporation (?Parent?), Apollo Endosurgery US, Inc., a Delaware corporation (?Apollo Endo?), Apollo Endosurgery International LLC, a Delaware l |
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| February 25, 2021 |
Exhibit 4.7 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Apollo Endosurgery, Inc. (?we,? ?our,? ?us,? or the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): our common stock. General The following summary of the terms of our common stock |
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| February 25, 2021 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS FOURTH QUARTER AND FULL YEAR 2020 RESULTS Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (February 25, 2021) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the fourth quarter |
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| February 25, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| February 25, 2021 |
Employment Agreement Effective March 1, 2020 by and between the Company and Charles McKhann Exhibit 10.13 EMPLOYMENT AGREEMENT Charles McKhann EMPLOYMENT AGREEMENT (the ?Agreement?), by and between Apollo Endosurgery, Inc. (the ?Company?) and Charles McKhann (?Executive?) and, together with the Company, the ?Parties?). WHEREAS, the Company desires to employ Executive pursuant to the terms, provisions and conditions set forth in this Agreement; WHEREAS, Executive desires to be employed on |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* APOLLO ENDOSURGERY, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 8, 2021 |
Exhibit 99.1 APOLLO ENDOSURGERY ANNOUNCES CEO TRANSITION WILL TRANSITION TO ACCOMPLISHED COMMERCIAL AND OPERATIONAL MEDTECH VETERAN CHARLES MCKHANN AUSTIN, Texas (February 8, 2021) - Apollo Endosurgery, Inc. ("Apollo" or the "Company") (Nasdaq: APEN), a global leader in next-generation minimally invasive medical devices for gastrointestinal and bariatric procedures, announced today a planned CEO c |
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| February 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2021 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| February 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| December 7, 2020 |
Exhibit 10.2 Execution Version AMENDMENT TO SECURITIES PURCHASE AGREEMENT THIS AMENDMENT TO SECURITIES PURCHASE AGREEMENT (this “Amendment”), dated as of December 4, 2020 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc., a Delaware corporation (the “Company”), and the Purchasers listed on the signature pages hereto (each a “Holder” and collectively, the “Holders”). T |
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| December 7, 2020 |
Exhibit 10.1 Execution Version SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of December 4, 2020 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc., a Delaware corporation (“Parent”), Apollo Endosurgery US, Inc., a Delaware corporation (“Apollo Endo”), Apollo Endosurgery International |
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| December 7, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| November 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGE |
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| November 5, 2020 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS THIRD QUARTER 2020 RESULTS Global Endoscopy Product Sales Increase 21% Year-Over-Year Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (November 5, 2020) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announc |
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| November 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| November 5, 2020 |
ARRENDANTE: BCR FONDO DE INVERSION INMOBILIARIO ARRENDATARIO: APOLLO ENDOSURGERY COSTA RICA S. |
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| October 13, 2020 |
APEN / Apollo Endosurgery Inc. / Gagnon Neil - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) October 8, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| October 9, 2020 |
Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 7, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissio |
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| September 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 23, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commis |
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| September 10, 2020 |
APEN / Apollo Endosurgery Inc. / CPMG Inc Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) John Bateman CPMG, Inc. 2000 McKinney Ave, Suite 2125 Dallas, Texas 75201 214-871-6816 (Name, Address and Telephone Number of Person Authorized |
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| August 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 25, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissio |
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| August 26, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 26, 2020 |
DEFA14A 1 a2020specialmeetingdefa14a.htm DEFA14A CHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy S |
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| August 25, 2020 |
20,000,000 Shares Common Stock Filed Pursuant to Rule 424(b)(7) Registration Statement No. 333-245652 PROSPECTUS 20,000,000 Shares Common Stock This prospectus relates to the proposed resale from time to time of up to 20,000,000 shares of our common stock, par value $0.001 per share, or the Resale Shares, of which 2,480,000 shares are issued and outstanding and 17,520,000 shares are issuable upon the exercise of pre-funded warr |
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| August 20, 2020 |
CORRESP 1 filename1.htm August 20, 2020 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mail Stop 3720 Washington, D.C. 20549 RE: Apollo Endosurgery, Inc. Registration Statement on Form S-3 File No. 333-245652 Ladies and Gentlemen: Apollo Endosurgery, Inc. (the “Registrant”) hereby requests that the Securities and Exchange Commission (the “Commission”) ta |
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| August 13, 2020 |
As filed with the U.S. Securities and Exchange Commission on August 13, 2020 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) ( |
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| August 12, 2020 |
PRE 14A 1 a2020specialmeetingproxy.htm PRE 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ý Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy St |
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| August 4, 2020 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS SECOND QUARTER 2020 RESULTS Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (August 4, 2020) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the second quarter ended June 30, 2 |
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| August 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| August 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, I |
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| July 22, 2020 |
Exhibit 99.1 Apollo Endosurgery Announces $25 Million Equity Financing, Solar Loan Amendment and Second Quarter Business Update AUSTIN, TX / July 20, 2020 / Apollo Endosurgery, Inc. ("Apollo") (NASDAQ:APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced that it has entered into definitive agreements for a $25 million equity financin |
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| July 22, 2020 |
8-K 1 a8-k2020capitalraisean.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisd |
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| July 22, 2020 |
Exhibit 10.1 Execution Version SIXTH AMENDMENT AND LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT THIS SIXTH AMENDMENT AND LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of July 17, 2020 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc., a Delaware corporation (“Parent”), Apollo Endosurgery US, Inc., a Delaware corporation (“Apollo Endo”), A |
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| July 22, 2020 |
APEN / Apollo Endosurgery Inc. / CPMG Inc - SC 13D/A Activist Investment SC 13D/A 1 brhc10013654sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) John Bateman CPMG, Inc. 2000 McKinney Ave, Suite 2125 Dallas, Texas 75201 214-871-6816 (Name, Addres |
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| July 22, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of July 17, 2020, between Apollo Endosurgery, Inc. a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions |
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| July 22, 2020 |
Form of Pre-Funded Warrant, dated as of July 21, 2020, issued by Apollo Endosurgery, Inc. Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| July 22, 2020 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of July 17, 2020, between Apollo Endosurgery, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities Purchas |
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| July 2, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 2, 2020 |
definitive proxy statement on Schedule 14A for SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 1, 2020 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 8-K 1 a8-k2020auditorchange.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdi |
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| July 1, 2020 |
dated July 1, 2020, was attached as Exhibit 16.1 EX-16.1 2 ex16-1kpmgsecletter.htm EX-16.1 Exhibit 16.1 July 1, 2020 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Apollo Endosurgery, Inc. and, under the date of March 26, 2020, we reported on the consolidated financial statements of Apollo Endosurgery, Inc. as of and for the years ended December 31, 2019 and 2018. On J |
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| June 18, 2020 |
LPTN / Lpath, Inc. / PTV SCIENCES II L P - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D 108 (CUSIP Number) Matthew S. Crawford PTV Healthcare Capital 3600 N. Capital of Texas Hwy, Suite B180 Austin, TX 78746 Telephone: (512) 872-4000 (Name, |
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| June 18, 2020 |
EX-99.A Exhibit A Joint Filing Statement I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the beneficial ownership by the undersigned of the equity securities of Apollo Endosurgery, Inc. is filed on behalf of each of the undersigned. Date: June 17, 2020 PTV SCIENCES II, L.P. By: Pinto Technology Ventures GP II, L.P. Its: Genera |
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| May 22, 2020 |
8-K 1 a8-k2020crawforddepart.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdi |
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| May 4, 2020 |
PROMISSORY NOTE Principal Loan Date Maturity Loan No Call / Coll Account Officer Initials $2,823,740. |
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| May 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, |
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| May 4, 2020 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS FIRST QUARTER 2020 RESULTS Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (May 4, 2020) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the first quarter ended March 31, 2020. |
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| May 4, 2020 |
Exhibit 10.2 Execution Version FIFTH AMENDMENT AND LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT AND SECOND AMENDMENT TO FEE LETTER THIS FIFTH AMENDMENT AND LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT AND SECOND AMENDMENT TO FEE LETTER (this “Amendment”), dated as of April 30, 2020 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc., a Delaware corporation (“Parent”), |
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| May 4, 2020 |
Exhibit 10.1 Execution Version FIRST AMENDMENT TO FOURTH AMENDMENT AND LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO FOURTH AMENDMENT AND LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of March 20, 2020 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc., a Delaware corporation (“Parent”), Apollo Endosurgery US, Inc., |
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| May 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission Fi |
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| April 30, 2020 |
April 30, 2020 (File No. 333-237919) As filed with the Securities and Exchange Commission on April 30, 2020. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of Registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) (I.R.S |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLL |
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| April 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| March 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, INC. |
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| March 26, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| March 26, 2020 |
Exhibit 4.7 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Apollo Endosurgery, Inc. (“we,” “our,” “us,” or the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): our common stock. General The following summary of the terms of our common stock |
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| March 26, 2020 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS FOURTH QUARTER AND FULL YEAR 2019 RESULTS Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (March 26, 2020) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the fourth quarter an |
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| March 5, 2020 |
APOLLO ENDOSURGERY 2020 CORPORATE BONUS PLAN PURPOSE OF THE PLAN The Apollo Endosurgery Bonus Plan (the “Plan”) is designed to reward eligible employees for their contributions toward the successful accomplishment of specific financial and strategic business objectives, and individual performance. |
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| March 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2020 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commiss |
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| February 14, 2020 |
LPTN / Lpath, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* APOLLO ENDOSURGERY, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 13, 2020 |
LPTN / Lpath, Inc. / Stonepine Capital Management, LLC Passive Investment SC 13G/A 1 apollo13ga2019.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the a |
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| February 13, 2020 |
LPTN / Lpath, Inc. / GAGNON NEIL - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03767D108 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 12, 2019 |
Filed Pursuant to Rule 424(b)(7) Registration Statement No. 333-233439 PROSPECTUS 8,016,484 Shares Common Stock This prospectus relates to the proposed resale from time to time of up to 8,016,484 shares of our common stock, par value $0.001 per share, by the selling stockholders named herein, together with any additional selling stockholders listed in a prospectus supplement (together with any of |
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| November 6, 2019 |
LPTN / Lpath, Inc. CORRESP - - November 6, 2019 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Amanda Ravitz RE: Apollo Endosurgery, Inc. Registration Statement on Form S-3 File No. 333-233439 Ladies and Gentlemen: Apollo Endosurgery, Inc. (the “Registrant”) hereby requests that the Securities and Exchange Commission (the “Commission”) take appro |
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| October 31, 2019 |
LPTN / Lpath, Inc. S-3/A - - S-3/A As filed with the U.S. Securities and Exchange Commission on October 31, 2019 Registration No. 333-233439 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorp |
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| October 31, 2019 |
LPTN / Lpath, Inc. CORRESP - - JOHN T. MCKENNA +1 650 843 5059 [email protected] VIA EDGAR AND FEDEX October 31, 2019 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Amanda Ravitz Re: Apollo Endosurgery, Inc. Registration Statement on Form S-3 Filed August 23, 2019 File No. 333-233439 Ladies and Gentlemen: On behalf of Apollo Endosurgery, Inc. (t |
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| October 30, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2019 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissi |
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| October 30, 2019 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS THIRD QUARTER 2019 RESULTS Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (October 30, 2019) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the third quarter ended September |
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| October 30, 2019 |
Third Amendment to Loan and Security Agreement, Waiver and First Amendment to Fee Letter Execution Version THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT, WAIVER AND FIRST AMENDMENT TO FEE LETTER THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT, WAIVER AND FIRST AMENDMENT TO FEE LETTER (this “Amendment”), dated as of October 25, 2019 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc. |
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| October 30, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGE |
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| August 23, 2019 |
Power of Attorney (see signature page to the original filing of this registration statement) As filed with the U.S. Securities and Exchange Commission on August 23, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) ( |
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| August 16, 2019 |
Exhibit 10.5 Execution Version SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of August 7, 2019 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc., a Delaware corporation (“Parent”), Apollo Endosurgery US, Inc., a Delaware corporation (“Apollo Endo”), Apollo Endosurgery International LLC |
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| August 16, 2019 |
EX-10.1 3 exhibit101spa.htm EXHIBIT 10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of August 7, 2019, between Apollo Endosurgery, Inc. a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WH |
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| August 16, 2019 |
Exhibit 10.3 SUBSIDIARY GUARANTEE SUBSIDIARY GUARANTEE, dated as of August 7, 2019 (this “Guarantee”), made by each of the signatories hereto (together with any other entity that may become a party hereto as provided herein, the “Guarantors”), in favor of the purchasers signatory (together with their permitted assigns, the “Purchasers”) to that certain Securities Purchase Agreement, dated as of th |
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| August 16, 2019 |
EX-99.1 8 exhibit991pr.htm EXHIBIT 99.1 Exhibit 99.1 APOLLO ENDOSURGERY, INC. ANNOUNCES CLOSING OF $20 MILLION PRIVATE PLACEMENT OF CONVERTIBLE DEBENTURES AUSTIN, Texas, August 12, 2019 - Apollo Endosurgery, Inc. (“Apollo”) (Nasdaq:APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced that it has closed its previously announced priva |
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| August 16, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2019 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commissio |
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| August 16, 2019 |
Pre-funded Warrant, dated as of August 12, 2019, issued by Apollo Endosurgery, Inc. Exhibit 10.4 PRE-FUNDED COMMON STOCK PURCHASE WARRANT APOLLO ENDOSURGERY, INC. Warrant Shares: 1,000,000 Initial Exercise Date: August 12, 2019 Issue Date: August 12, 2019 THIS PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereina |
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| August 16, 2019 |
Form of 6.0% Convertible Debenture due 2024 Exhibit 4.1 NEITHER THIS SECURITY NOR THE COMMON STOCK INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED EXCEPT PURSUA |
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| August 16, 2019 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of August 12, 2019, between Apollo Endosurgery, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities Purch |
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| August 14, 2019 |
LPTN / Lpath, Inc. / CPMG Inc Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Apollo Endosurgery, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03767D108 (CUSIP Number) John Bateman CPMG, Inc. 2000 McKinney Ave, Suite 2125 Dallas, Texas 75201 214-871-6816 (Name, Address and Telephone Number of Person Authorized |
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| August 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2019 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| August 8, 2019 |
APOLLO ENDOSURGERY, INC. Announces $20 Million Private Placement of Convertible Debentures Exhibit 99.1 APOLLO ENDOSURGERY, INC. Announces $20 Million Private Placement of Convertible Debentures AUSTIN, Texas, August 8, 2019 - Apollo Endosurgery, Inc. (“Apollo”) (Nasdaq:APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced that it has entered into definitive agreements with accredited investors, including officers and affi |
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| July 24, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, I |
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| July 23, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 23, 2019 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| July 23, 2019 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS SECOND QUARTER 2019 RESULTS Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (July 23, 2019) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the second quarter ended June 30, 20 |
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| June 26, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2019 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
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| June 26, 2019 |
First Amendment to Loan and Security Agreement Execution Version FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of June 20, 2019 (the “Amendment Effective Date”), is made by and among Apollo Endosurgery, Inc. |
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| June 11, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2019 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission F |
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| May 3, 2019 |
May 3, 2019 (File No. 333-231202) As filed with the Securities and Exchange Commission on May 3, 2019. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APOLLO ENDOSURGERY, INC. (Exact name of Registrant as specified in its charter) Delaware 16-1630142 (State or other jurisdiction of incorporation or organization) (I.R.S. E |
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| May 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35706 APOLLO ENDOSURGERY, INC |
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| May 2, 2019 |
Exhibit 99.1 APOLLO ENDOSURGERY, INC. REPORTS FIRST QUARTER 2019 RESULTS Conference Call to Discuss Results Today at 3:30 p.m. CT / 4:30 p.m. ET AUSTIN, Texas (May 2, 2019) - Apollo Endosurgery, Inc. ("Apollo") (Nasdaq: APEN), a global leader in less invasive medical devices for gastrointestinal and bariatric procedures, today announced financial results for the first quarter ended March 31, 2019. |
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| May 2, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition + UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2019 Apollo Endosurgery, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35706 16-1630142 (State or other jurisdiction of incorporation) (Commission |
