McKhann Chas 的 Form 4/A 修正申報

修正

Apollo Endosurgery, Inc.（APEN），2021/8/20 申報

申報編號: 0001251769-21-000107
申報時間: 2021/8/20
交易日: 2021/8/18-8/20
申報延遲: 2 天
10b5-1 計畫: 表單沒有這欄（2023 年以前）
原始申報日: 2021/8/20

SEC EDGAR 原文（在新分頁開啟）

這份申報列了 3 筆非衍生性交易。公開市場賣出合計 $50.4 萬。交易後 2 天申報。

這份修正申報取代了 0001251769-21-000105（2021/8/20 申報）。

申報人

一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。

這份申報的申報人
申報人	與公司的關係
McKhann ChasCIK 0001631746	董事、高階主管（總裁、執行長）

非衍生性證券（表 I）

普通股等股票的取得與處分，每一列是申報上的一筆。

非衍生性證券的交易
交易日	證券	交易	股數	價格	金額	交易後持股	持有方式
2021/8/18	Common Stock	S賣出處分	−21,156	$8.21^F2	−$173,690.76	686,122	直接
2021/8/19	Common Stock	S賣出處分	−21,148	$7.89^F3	−$166,857.72	664,974	直接
2021/8/20	Common Stock	S賣出處分	−21,148	$7.74^F4	−$163,685.52	643,826	直接

附註與備註

本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。

On March 10, 2021, the holder was granted 707,278 performance-based restricted stock units ("RSUs"), as previously reported on a Form 4 filed on March 12, 2021. One-quarter (25%) of these RSUs vested upon the Company's achievement of at least $50 million of revenue for the trailing four quarters ended June 30, 2021. Amounts reported represent shares sold by the holder solely to satisfy the holder's tax withholding obligation due in connection with the vesting and settlement of this tranche of the RSUs.

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.

表 I 有 1 筆交易的價格引用這則附註。

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.

表 I 有 1 筆交易的價格引用這則附註。

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.

表 I 有 1 筆交易的價格引用這則附註。

備註

Added new footnote 1 above to clarify the nature of the sales of shares of common stock.

看 SEC EDGAR 上的完整原文（在新分頁開啟）