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, Q1 2023
Institutional positions in Apollo Endosurgery, Inc. as of Mar 31, 2023. 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
APEN is no longer listed, so this page shows Q1 2023. 13F filings for later quarters list far fewer holders.
- Institutional holders
- 90
- +9 vs. Q4 2022
- Shares held
- 43.6M
- +6.59M (+17.8%) vs. Q4 2022
- Total value
- $442.4M
- +$73.4M (+19.9%) vs. Q4 2022
- New holders
- 30
- 33 more added
- Sold out
- 21
- 20 more reduced
Compare with Q4 2022: 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, Q1 2023
Shares, value and share of portfolio for each institution holding Apollo Endosurgery, Inc.; share changes are against Q4 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Sugarloaf Wealth Management, LLC | 65 | $645 | 0.00% | 00.0% | Unchanged |
| Belpointe Asset Management LLC | 100 | $992 | 0.00% | +100 | New |
| UBS Group AG | 223 | $2.21K | 0.00% | −35,105−99.4% | Reduced |
| Wells Fargo & Company | 236 | $2.34K | 0.00% | −28−10.6% | Reduced |
| Royal Bank of Canada | 569 | $6.00K | 0.00% | +569 | New |
| Cutler Group LP | 1,400 | $13.0K | 0.00% | +100+7.7% | Added |
| Aquatic Capital Management LLC | 1,300 | $13.0K | 0.00% | +1,300 | New |
| Sunbelt Securities, Inc. | 2,799 | $27.8K | 0.00% | +2,799 | New |
| Tower Research Capital LLC (TRC) | 6,069 | $60.0K | 0.00% | +2,574+73.6% | Added |
| FMR LLC | 6,369 | $63.2K | 0.00% | +6,214+4,009.0% | Added |
| Barclays PLC | 7,047 | $69.9K | 0.00% | −10,715−60.3% | Reduced |
| Morris Financial Concepts, Inc. | 11,149 | $110.6K | 0.08% | 00.0% | Unchanged |
| Hunting Hill Global Capital, LLC | 12,911 | $128.1K | 0.15% | +12,911 | New |
| Citadel Advisors LLC | 13,615 | $135.1K | 0.00% | +3,198+30.7% | Added |
| Charles Schwab Investment Management Inc | 13,931 | $138.2K | 0.00% | −3,267−19.0% | Reduced |
| Balyasny Asset Management LLC | 14,622 | $145.1K | 0.00% | +1,916+15.1% | Added |
| State of Wyoming | 14,860 | $147.4K | 0.05% | +14,860 | New |
| Jefferies Financial Group Inc. | 15,365 | $152.4K | 0.00% | +15,365 | New |
| University of Texas/Texas Am Investment Managment Co | 15,601 | $155.0K | 0.06% | −15,601−50.0% | Reduced |
| FNY Investment Advisers, LLC | 18,030 | $178.0K | 0.21% | +18,030 | New |
| Voloridge Investment Management, LLC | 21,770 | $216.0K | 0.00% | +21,770 | New |
| Black Maple Capital Management LP | 24,461 | $242.7K | 0.30% | +24,461 | New |
| Thompson Davis & Co., Inc. | 25,000 | $248.0K | 0.32% | −2,000−7.4% | Reduced |
| Jump Financial, LLC | 25,167 | $249.7K | 0.01% | −10,415−29.3% | Reduced |
| Alpine Global Management, LLC | 25,269 | $250.7K | 0.10% | +25,269 | New |
| LMR Partners LLP | 26,184 | $259.7K | 0.01% | +26,184 | New |
| CenterBook Partners LP | 29,628 | $293.9K | 0.04% | +29,628 | New |
| Harvest Management LLC | 30,000 | $297.6K | 0.27% | −20,000−40.0% | Reduced |
| Boston Partners | 32,403 | $321.4K | 0.00% | −103,920−76.2% | Reduced |
| ExodusPoint Capital Management, LP | 48,933 | $485.0K | 0.01% | +48,933 | New |
| Neuberger Berman Group LLC | 50,000 | $496.0K | 0.00% | 00.0% | Unchanged |
| Bank of New York Mellon Corp | 55,737 | $552.9K | 0.00% | −204−0.4% | Reduced |
| Landscape Capital Management, L.L.C. | 57,037 | $565.8K | 0.08% | +57,037 | New |
| Maven Securities LTD | 58,500 | $580.3K | 0.09% | +14,749+33.7% | Added |
| Gagnon Securities LLC | 66,957 | $664.2K | 0.14% | −1,636,218−96.1% | Reduced |
| Water Island Capital LLC | 67,123 | $665.9K | 0.05% | −382,513−85.1% | Reduced |
| Virtu Financial LLC | 68,454 | $679.0K | 0.07% | +68,454 | New |
| Jane Street Group, LLC | 99,609 | $988.1K | 0.00% | +58,050+139.7% | Added |
| Skandinaviska Enskilda Banken AB (publ) | 100,000 | $992.0K | 0.01% | +100,000 | New |
| Russell Investments Group, Ltd. | 103,124 | $1.02M | 0.00% | −490,681−82.6% | Reduced |
| Renaissance Technologies LLC | 123,100 | $1.22M | 0.00% | −86,500−41.3% | Reduced |
| NJ State Employees Deferred Compensation Plan | 130,000 | $1.29M | 0.20% | 00.0% | Unchanged |
| State Street Corp | 140,566 | $1.39M | 0.00% | +22,600+19.2% | Added |
| BCK Capital Management LP | 141,222 | $1.40M | 1.22% | +2,222+1.6% | Added |
| CSS LLC | 141,980 | $1.41M | 0.11% | +91,765+182.7% | Added |
| Wolverine Asset Management LLC | 145,847 | $1.45M | 0.03% | +139,123+2,069.1% | Added |
| GAM Holding AG | 147,220 | $1.46M | 0.10% | +147,220 | New |
| Gamco Investors, Inc. Et Al | 150,777 | $1.50M | 0.02% | +106,770+242.6% | Added |
| Sagefield Capital LP | 154,500 | $1.53M | 0.35% | +154,500 | New |
| Bridgeway Capital Management, LLC | 175,200 | $1.74M | 0.05% | 00.0% | Unchanged |
| Northern Trust Corp | 190,420 | $1.89M | 0.00% | −6,169−3.1% | Reduced |
| Yakira Capital Management, Inc. | 196,615 | $1.95M | 0.50% | +196,615 | New |
| Verition Fund Management LLC | 247,210 | $2.45M | 0.04% | +234,210+1,801.6% | Added |
| Bank of America Corp | 257,485 | $2.55M | 0.00% | +216,520+528.5% | Added |
| Goldman Sachs Group Inc | 267,308 | $2.65M | 0.00% | +118,075+79.1% | Added |
| Syquant Capital SAS | 300,000 | $2.98M | 7.08% | +300,000 | New |
| Crystalline Management Inc. | 308,646 | $3.03M | 2.35% | +271,327+727.0% | Added |
| Geode Capital Management, LLC | 360,480 | $3.58M | 0.00% | −11,849−3.2% | Reduced |
| Stonepine Capital Management, LLC | 370,000 | $3.67M | 1.23% | −3,356,584−90.1% | Reduced |
| Gilder Gagnon Howe & Co LLC | 371,653 | $3.69M | 0.06% | −1,352−0.4% | Reduced |
| Arena Investors LP | 391,467 | $3.88M | 3.64% | +391,467 | New |
| Morgan Stanley | 416,826 | $4.13M | 0.00% | +74,179+21.6% | Added |
| Magnetar Financial LLC | 417,191 | $4.14M | 0.08% | +1,997+0.5% | Added |
| Prelude Capital Management, LLC | 420,413 | $4.17M | 0.28% | +420,413 | New |
| Susquehanna International Group, LLP | 420,511 | $4.17M | 0.01% | +257,986+158.7% | Added |
| Vazirani Asset Management LLC | 425,000 | $4.22M | 7.97% | +425,000 | New |
| New York Life Investment Management LLC | 430,063 | $4.27M | 0.05% | +430,063 | New |
| Bardin Hill Management Partners LP | 443,848 | $4.40M | 1.09% | +186,536+72.5% | Added |
| Vivaldi Asset Management, LLC | 474,664 | $4.71M | 0.20% | 00.0% | Unchanged |
| AWM Investment Company, Inc. | 486,761 | $4.83M | 0.65% | −300,048−38.1% | Reduced |
| Qube Research & Technologies Ltd | 536,288 | $5.32M | 0.03% | +250,248+87.5% | Added |
| Capula Management Ltd | 546,965 | $5.43M | 0.47% | +546,965 | New |
| Flow State Investments, L.P. | 550,520 | $5.46M | 4.52% | +550,520 | New |
| BlackRock Inc. | 671,529 | $6.66M | 0.00% | +158,788+31.0% | Added |
| Federated Hermes, Inc. | 721,000 | $7.15M | 0.02% | +413,000+134.1% | Added |
| Gabelli & Co Investment Advisers, Inc. | 791,772 | $7.85M | 1.51% | +599,922+312.7% | Added |
| Trium Capital LLP | 992,046 | $9.84M | 4.16% | +959,558+2,953.6% | Added |
| Man Group plc | – | $9.92M | 0.04% | – | New |
| Gabelli Funds LLC | 1,221,882 | $12.1M | 0.09% | +944,608+340.7% | Added |
| JPMorgan Chase & Co | 1,338,150 | $13.3M | 0.00% | +263,800+24.6% | Added |
| Ergoteles LLC | 1,414,792 | $14.0M | 0.55% | +1,414,792 | New |
| Gardner Lewis Asset Management L P | 1,428,884 | $14.2M | 5.01% | +1,428,884 | New |
| Schonfeld Strategic Advisors LLC | 1,739,807 | $17.3M | 0.17% | +1,712,876+6,360.2% | Added |
| Vanguard Group Inc | 1,794,761 | $17.8M | 0.00% | +327,394+22.3% | Added |
| Woodline Partners LP | 1,809,001 | $17.9M | 0.25% | +1,046,201+137.2% | Added |
| Millennium Management LLC | 1,851,473 | $18.4M | 0.02% | +1,411,560+320.9% | Added |
| Citigroup Inc | 2,000,000 | $19.8M | 0.03% | −386,557−16.2% | Reduced |
| Highland Capital Management Fund Advisors, L.P. | 3,613,419 | $35.8M | 3.93% | +3,599,519+25,895.8% | Added |
| Nantahala Capital Management, LLC | 4,575,021 | $45.4M | 4.35% | +518,394+12.8% | Added |
| CPMG Inc | 6,183,603 | $61.3M | 12.37% | 00.0% | Unchanged |
| Deerfield Management Company, L.P. (Series C) | 0 | $0 | 0.00% | −1,750,000−100.0% | Sold out |
| Archon Capital Management LLC | 0 | $0 | 0.00% | −1,645,443−100.0% | Sold out |
| Gagnon Advisors, LLC | 0 | $0 | 0.00% | −1,329,354−100.0% | Sold out |
| Boone Capital Management LLC | 0 | $0 | 0.00% | −718,419−100.0% | Sold out |
| Berry Street Capital Management LLP | 0 | $0 | 0.00% | −625,000−100.0% | Sold out |
| AIGH Capital Management LLC | 0 | $0 | 0.00% | −316,436−100.0% | Sold out |
| TIG Advisors, LLC | 0 | $0 | 0.00% | −196,665−100.0% | Sold out |
| Apis Capital Advisors, LLC | 0 | $0 | 0.00% | −170,000−100.0% | Sold out |
| GWM Asset Management Ltd | 0 | $0 | 0.00% | −165,691−100.0% | Sold out |
| Glazer Capital, LLC | 0 | $0 | 0.00% | −162,947−100.0% | Sold out |