Black Jeffrey G.'s Form 4 filing
Apollo Endosurgery, Inc. (APEN) · filed Aug 11, 2021
- Accession no.
- 0001251769-21-000103
- Filed
- Aug 11, 2021
- Trade date
- Aug 9-11, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market purchases total $218.8K. It was filed 2 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 |
|---|---|
| Black Jeffrey G.CIK 0001449439 | Officer (Chief Financial Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 11, 2021 | Common Stock | PPurchaseAcquired | +25,000 | $8.75F1 | +$218,750 | 25,000 | Direct | |
| Aug 9, 2021 | Common Stock | AGrant or awardAcquired | +120,000 | $0.00 | $0 | 145,000 | Direct | |
| Aug 9, 2021 | Common Stock | AGrant or awardAcquired | +80,000 | $0.00 | $0 | 225,000 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 9, 2021 | Common Stock | AGrant or awardAcquired | +150,000 | $8.69 | +$1,303,500 | 150,000 | Direct |
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.
- F1
Represents weighted average price of shares purchased. Prices ranged between $8.40 - $9.00, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchase at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.