Apollo Endosurgery, Inc.
APENDelisted Apr 4, 2023- Industry
- Surgical & Medical Instruments & Apparatus
- SEC CIK
- 0001251769
Apollo Endosurgery, Inc. was delisted on Apr 4, 2023; its insiders filed their last Form 4 on Apr 4, 2023; 90 institutions reported holding it in 13F filings for Q1 2023, worth $442.4M in total; no superinvestor held it.
13F holders, Q4 2021
Institutional positions in Apollo Endosurgery, Inc. as of Dec 31, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 72
- +18 vs. Q3 2021
- Shares held
- 28.3M
- +10.8M (+61.6%) vs. Q3 2021
- Total value
- $238.8M
- +$80.0M (+50.4%) vs. Q3 2021
- New holders
- 27
- 29 more added
- Sold out
- 9
- 9 more reduced
1 institution that held it in Q3 2021 haven't filed for Q4 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting APEN on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 0 | $0 |
| Q1 2026 | 0 | $0 |
| Q4 2025 | 0 | $0 |
| Q3 2025 | 0 | $0 |
| Q2 2025 | 0 | $0 |
| Q1 2025 | 0 | $0 |
| Q4 2024 | 0 | $0 |
| Q3 2024 | 0 | $0 |
| Q2 2024 | 0 | $0 |
| Q1 2024 | 0 | $0 |
| Q4 2023 | 0 | $0 |
| Q3 2023 | 0 | $0 |
| Q2 2023 | 0 | $0 |
| Q1 2023 | 90 | $442.4M |
| Q4 2022 | 81 | $369.0M |
| Q3 2022 | 53 | $174.3M |
| Q2 2022 | 63 | $110.4M |
| Q1 2022 | 71 | $178.8M |
| Q4 2021 | 72 | $238.8M |
| Q3 2021 | 55 | $159.0M |
| Q2 2021 | 46 | $126.5M |
| Q1 2021 | 42 | $74.3M |
Institutions, Q4 2021
Shares, value and share of portfolio for each institution holding Apollo Endosurgery, Inc.; share changes are against Q3 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| CPMG Inc | 3,878,742 | $32.7M | 6.03% | +683,871+21.4% | Added |
| Nantahala Capital Management, LLC | 3,761,783 | $31.7M | 1.97% | +1,247,455+49.6% | Added |
| Soleus Capital Management, L.P. | 2,295,100 | $19.3M | 2.61% | +2,295,100 | New |
| Deerfield Management Company, L.P. (Series C) | 1,750,000 | $14.8M | 0.31% | +1,750,000 | New |
| Gagnon Securities LLC | 1,534,056 | $12.9M | 1.94% | −6,872−0.4% | Reduced |
| Gagnon Advisors, LLC | 1,329,354 | $11.2M | 4.45% | 00.0% | Unchanged |
| Vanguard Group Inc | 1,293,117 | $10.9M | 0.00% | +519,810+67.2% | Added |
| Stonepine Capital Management, LLC | 1,151,163 | $9.70M | 4.45% | +239,038+26.2% | Added |
| Parian Global Management LP | 991,229 | $8.36M | 7.57% | +170,841+20.8% | Added |
| Archon Capital Management LLC | 954,696 | $8.05M | 1.81% | +198,542+26.3% | Added |
| Parkman Healthcare Partners LLC | 918,485 | $7.74M | 1.75% | +87,271+10.5% | Added |
| Silverarc Capital Management, LLC | 739,604 | $6.24M | 2.79% | +739,604 | New |
| Goldman Sachs Group Inc | 652,565 | $5.50M | 0.00% | +10,594+1.7% | Added |
| King Luther Capital Management Corp | 545,454 | $4.60M | 0.02% | 00.0% | Unchanged |
| Gilder Gagnon Howe & Co LLC | 528,359 | $4.45M | 0.03% | +314,306+146.8% | Added |
| AWM Investment Company, Inc. | 428,640 | $3.61M | 0.36% | +428,640 | New |
| Adage Capital Partners GP, L.L.C. | 416,000 | $3.51M | 0.01% | +260,032+166.7% | Added |
| BlackRock Inc. | 412,956 | $3.48M | 0.00% | +360,905+693.4% | Added |
| Assenagon Asset Management S.A. | 392,055 | $3.31M | 0.01% | +156,109+66.2% | Added |
| Pura Vida Investments, LLC | 374,657 | $3.16M | 0.33% | +374,657 | New |
| Essex Investment Management Co LLC | 358,840 | $3.02M | 0.35% | +116,189+47.9% | Added |
| Renaissance Technologies LLC | 284,900 | $2.40M | 0.00% | −124,800−30.5% | Reduced |
| Parametric Portfolio Associates LLC | 275,726 | $2.32M | 0.00% | −18,188−6.2% | Reduced |
| Geode Capital Management, LLC | 267,105 | $2.25M | 0.00% | +143,282+115.7% | Added |
| RTW Investments, LP | 258,064 | $2.17M | 0.03% | +258,064 | New |
| Manatuck Hill Partners, LLC | 255,368 | $2.15M | 0.82% | +16,868+7.1% | Added |
| Hillsdale Investment Management Inc. | 218,721 | $1.84M | 0.12% | −41,000−15.8% | Reduced |
| Northern Trust Corp | 182,623 | $1.54M | 0.00% | +18,354+11.2% | Added |
| Bridgeway Capital Management, LLC | 164,800 | $1.39M | 0.03% | −23,500−12.5% | Reduced |
| Thompson Davis & Co., Inc. | 160,579 | $1.35M | 1.13% | +160,579 | New |
| EAM Investors, LLC | 139,564 | $1.18M | 0.19% | −70,142−33.4% | Reduced |
| Millennium Management LLC | 134,532 | $1.13M | 0.00% | +134,532 | New |
| NJ State Employees Deferred Compensation Plan | 130,000 | $1.10M | 0.14% | 00.0% | Unchanged |
| Calamos Advisors LLC | 128,564 | $1.08M | 0.00% | +128,564 | New |
| Russell Investments Group, Ltd. | 124,741 | $1.05M | 0.00% | +124,741 | New |
| Marshall Wace, LLP | 104,666 | $882.0K | 0.00% | −44,356−29.8% | Reduced |
| Susquehanna International Group, LLP | 89,069 | $751.0K | 0.00% | +57,651+183.5% | Added |
| 1492 Capital Management LLC | 74,864 | $631.0K | 0.31% | +74,864 | New |
| Citadel Advisors LLC | 73,417 | $619.0K | 0.00% | +47,225+180.3% | Added |
| State Street Corp | 58,900 | $497.0K | 0.00% | +19,900+51.0% | Added |
| Neuberger Berman Group LLC | 50,000 | $422.0K | 0.00% | 00.0% | Unchanged |
| 683 Capital Management, LLC | 49,564 | $418.0K | 0.02% | +49,564 | New |
| Citigroup Inc | 42,696 | $360.0K | 0.00% | +42,696 | New |
| Trexquant Investment LP | 31,727 | $267.0K | 0.02% | +20,170+174.5% | Added |
| Cubist Systematic Strategies, LLC | 31,145 | $263.0K | 0.00% | +31,145 | New |
| Alpine Global Management, LLC | 29,828 | $251.0K | 0.04% | +29,828 | New |
| Ameriprise Financial Inc | 24,902 | $210.0K | 0.00% | −12,500−33.4% | Reduced |
| Qube Research & Technologies Ltd | 23,581 | $199.0K | 0.00% | +23,581 | New |
| Balyasny Asset Management LLC | 20,139 | $170.0K | 0.00% | +20,139 | New |
| Atom Investors LP | 20,115 | $170.0K | 0.05% | +20,115 | New |
| Walleye Capital LLC | 18,014 | $152.0K | 0.01% | +18,014 | New |
| Engineers Gate Manager LP | 17,890 | $151.0K | 0.01% | +17,890 | New |
| Jump Financial, LLC | 17,626 | $149.0K | 0.01% | −2,474−12.3% | Reduced |
| University of Texas/Texas Am Investment Managment Co | 15,601 | $132.0K | 0.06% | 00.0% | Unchanged |
| ExodusPoint Capital Management, LP | 14,428 | $122.0K | 0.00% | +14,428 | New |
| Acadian Asset Management LLC | 12,569 | $105.0K | 0.00% | +2,701+27.4% | Added |
| Jane Street Group, LLC | 11,440 | $96.0K | 0.00% | +11,440 | New |
| Boulder Hill Capital Management LP | 11,400 | $96.0K | 0.09% | +11,400 | New |
| Morris Financial Concepts, Inc. | 11,149 | $94.0K | 0.08% | +11,149 | New |
| JPMorgan Chase & Co | 9,733 | $82.0K | 0.00% | +9,733 | New |
| Dorsey Wright & Associates | 9,629 | $81.0K | 0.02% | +1,304+15.7% | Added |
| Lazard Asset Management LLC | 6,142 | $51.0K | 0.00% | +2,236+57.2% | Added |
| Morgan Stanley | 6,078 | $51.0K | 0.00% | +2,783+84.5% | Added |
| Bank of America Corp | 4,877 | $41.0K | 0.00% | +4,877 | New |
| Macquarie Group Ltd | 3,984 | $34.0K | 0.00% | +2,002+101.0% | Added |
| UBS Group AG | 1,788 | $15.0K | 0.00% | +1,392+351.5% | Added |
| Total Clarity Wealth Management, Inc. | 1,249 | $11.0K | 0.00% | +108+9.5% | Added |
| Royal Bank of Canada | 536 | $5.00K | 0.00% | +536 | New |
| Federated Hermes, Inc. | 489 | $4.00K | 0.00% | +207+73.4% | Added |
| Wells Fargo & Company | 184 | $2.00K | 0.00% | +60+48.4% | Added |
| Sugarloaf Wealth Management, LLC | 65 | $1.00K | 0.00% | 00.0% | Unchanged |
| Ancora Advisors, LLC | 18 | $0 | 0.00% | 00.0% | Unchanged |
| Invesco Ltd. | 0 | $0 | 0.00% | −294,649−100.0% | Sold out |
| Raymond James & Associates | 0 | $0 | 0.00% | −28,392−100.0% | Sold out |
| Kercheville Advisors, LLC | 0 | $0 | 0.00% | −10,682−100.0% | Sold out |
| Barclays PLC | 0 | $0 | 0.00% | −6,772−100.0% | Sold out |
| Tower Research Capital LLC (TRC) | 0 | $0 | 0.00% | −418−100.0% | Sold out |
| Cutler Group LP | 0 | $0 | 0.00% | −500−100.0% | Sold out |
| Brewin Dolphin Ltd | 0 | $0 | 0.00% | −1−100.0% | Sold out |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 0 | $0 | 0.00% | −12−100.0% | Sold out |
| Pacitti Group Inc. | 0 | $0 | 0.00% | −2−100.0% | Sold out |
| Marshall Wace North America L.P. | – | – | – | – | Not filed |