McGaughy R Kent Jr's Form 4 filing
Apollo Endosurgery, Inc. (APEN) · filed Oct 19, 2021
- Accession no.
- 0001140361-21-034925
- Filed
- Oct 19, 2021
- Trade date
- Oct 15, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $5.30M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| McGaughy R Kent JrCIK 0001402856 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 15, 2021 | Class A common stock | PPurchaseAcquired | +38,710 | $7.75F2 | +$300,002.5 | 521,522 | Indirect | |
| Oct 15, 2021 | Class A common stock | PPurchaseAcquired | +258,064 | $7.75F2 | +$1,999,996 | 696,071 | Indirect | |
| Oct 15, 2021 | Class A common stock | PPurchaseAcquired | +387,097 | $7.75F2 | +$3,000,001.75 | 2,151,209 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
These shares were acquired in an underwritten registered follow-on offering by the Issuer that closed on October 15, 2021.
Referenced by the price of 3 transactions in Table I.