McKhann Chas's Form 4 filing
Apollo Endosurgery, Inc. (APEN) · filed Aug 20, 2021
- Accession no.
- 0001251769-21-000105
- Filed
- Aug 20, 2021
- Trade date
- Aug 18-20, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $504.2K. It was filed 2 days after the trade.
This filing was later replaced by the amendment 0001251769-21-000107 (Aug 20, 2021). Trade tables on this site use the amended version.
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 |
|---|---|
| McKhann ChasCIK 0001631746 | Director, Officer (President and CEO) |
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 18, 2021 | Common Stock | SSaleDisposed | −21,156 | $8.21F1 | −$173,690.76 | 686,122 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −21,148 | $7.89F2 | −$166,857.72 | 664,974 | Direct | |
| Aug 20, 2021 | Common Stock | SSaleDisposed | −21,148 | $7.74F3 | −$163,685.52 | 643,826 | 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 sold. Prices ranged between $8.02 - $8.55, 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 sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F2
Represents weighted average price of shares sold. Prices ranged between $7.68 - $8.15, 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 sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F3
Represents weighted average price of shares sold. Prices ranged between $7.59 - $8.09, 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 sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.