APEN

Apollo Endosurgery, Inc. APEN

Trading inactive

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Citigroup Inc. Delaware 0 0 0 0 0 0 % 08/05/2023
Citigroup Financial Products Inc. Delaware 0 0 0 0 0 0 % 08/05/2023
Citigroup Global Markets Inc. New York 0 0 0 0 0 0 % 08/05/2023
Citigroup Global Markets Holdings Inc. New York 0 0 0 0 0 0 % 08/05/2023
Hedgehog Capital LLC DE 2817405 2817405 2817405 4.8 % 04/04/2023
Hold River LLC DE 235600 235600 235600 0.4 % 04/04/2023
Hedonic Capital LLC DE 226631 226631 226631 0.3 % 04/04/2023
David T. Lu USA 3279636 3279636 3279636 5.6 % 04/04/2023
Hedgehog Capital LLC DE 2817405 2817405 2817405 4.8 % 04/04/2023
Hold River LLC DE 235600 235600 235600 0.4 % 04/04/2023
Hedonic Capital LLC DE 226631 226631 226631 0.3 % 04/04/2023
David T. Lu USA 3279636 3279636 3279636 5.6 % 04/04/2023
Daniel Mack USA 0 4056627 0 4056627 4056627 9.9 % 14/02/2023
Nantahala Capital Management, LLC MA 0 4056627 0 4056627 4056627 9.9 % 14/02/2023
Daniel Mack USA 0 4056627 0 4056627 4056627 9.9 % 14/02/2023
Wilmot B. Harkey USA 0 4056627 0 4056627 4056627 9.9 % 14/02/2023
Wilmot B. Harkey USA 0 4056627 0 4056627 4056627 9.9 % 14/02/2023
Nantahala Capital Management, LLC MA 0 4056627 0 4056627 4056627 9.9 % 14/02/2023
Laurence W. Lytton USA 3375216 27964 3375216 27964 3403180 6.7 % 13/02/2023
Laurence W. Lytton USA 3375216 27964 3375216 27964 3403180 6.7 % 13/02/2023
Stonepine Capital, L.P. Delaware 4351088 0 4351088 0 4351088 9 % 13/02/2023
Stonepine Capital Management, LLC California 4351088 0 4351088 0 4351088 9 % 13/02/2023
Stonepine Capital, L.P. Delaware 4351088 0 4351088 0 4351088 9 % 13/02/2023
Stonepine Capital Management, LLC California 4351088 0 4351088 0 4351088 9 % 13/02/2023
NEIL GAGNON USA 0 671944 0 717490 717490 1.7 % 08/02/2023
GAGNON ADVISORS, LLC DELAWARE 0 0 0 0 0 0 % 08/02/2023
GAGNON SECURITIES LLC DELAWARE 0 671944 0 717490 717490 1.7 % 08/02/2023
GAGNON SECURITIES LLC DELAWARE 0 671944 0 717490 717490 1.7 % 08/02/2023
GAGNON ADVISORS, LLC DELAWARE 0 0 0 0 0 0 % 08/02/2023
NEIL GAGNON USA 0 671944 0 717490 717490 1.7 % 08/02/2023
NEIL GAGNON USA 237371 3340918 237371 3493520 3730891 9 % 06/02/2023
GAGNON ADVISORS, LLC DELAWARE 0 1329354 0 1329354 1329354 3.2 % 06/02/2023
GAGNON SECURITIES LLC DELAWARE 0 1824331 0 1962770 1962770 4.7 % 06/02/2023
GAGNON ADVISORS, LLC DELAWARE 0 1329354 0 1329354 1329354 3.2 % 06/02/2023
NEIL GAGNON USA 237371 3340918 237371 3493520 3730891 9 % 06/02/2023
GAGNON SECURITIES LLC DELAWARE 0 1824331 0 1962770 1962770 4.7 % 06/02/2023
Laurence W. Lytton USA 3673920 16000 3673920 16000 3689920 9.3 % 15/02/2022
Daniel Mack USA 0 3971642 0 3971642 3971642 9.9 % 14/02/2022
Daniel Mack USA 0 3971642 0 3971642 3971642 9.9 % 14/02/2022
Nantahala Capital Management, LLC MA 0 3971642 0 3971642 3971642 9.9 % 14/02/2022
Wilmot B. Harkey USA 0 3971642 0 3971642 3971642 9.9 % 14/02/2022
Wilmot B. Harkey USA 0 3971642 0 3971642 3971642 9.9 % 14/02/2022
Nantahala Capital Management, LLC MA 0 3971642 0 3971642 3971642 9.9 % 14/02/2022
Stonepine Capital, L.P. Delaware 2655129 0 2655129 0 2655129 6.5 % 11/02/2022
Stonepine Capital, L.P. Delaware 2655129 0 2655129 0 2655129 6.5 % 11/02/2022
Stonepine Capital Management, LLC California 2655129 0 2655129 0 2655129 6.5 % 11/02/2022
Stonepine Capital Management, LLC California 2655129 0 2655129 0 2655129 6.5 % 11/02/2022
Soleus Capital Group, LLC Delaware 0 2295100 0 2295100 2295100 5.8 % 10/02/2022
Soleus Capital, LLC Delaware 0 2295100 0 2295100 2295100 5.8 % 10/02/2022
Soleus Capital Master Fund, L.P. Cayman Islands 0 2295100 0 2295100 2295100 5.8 % 10/02/2022
Guy Levy United States 0 2295100 0 2295100 2295100 5.8 % 10/02/2022
GAGNON ADVISORS, LLC DELAWARE 0 1329354 0 1329354 1329354 3.4 % 03/02/2022
NEIL GAGNON USA 167462 3067805 167462 3220617 3388079 8.6 % 03/02/2022
GAGNON SECURITIES LLC DELAWARE 0 1652030 0 1792944 1792944 4.5 % 03/02/2022
Guy Levy United States 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Soleus Capital Group, LLC Delaware 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Soleus Capital Master Fund, L.P. Cayman Islands 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Soleus Capital, LLC Delaware 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Soleus Capital Master Fund, L.P. Cayman Islands 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Soleus Capital, LLC Delaware 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Soleus Capital Group, LLC Delaware 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Guy Levy United States 0 2085497 0 2085497 2085497 5.3 % 20/12/2021
Laurence W. Lytton USA 2626083 22067 2626083 22067 2648150 9.99 % 16/02/2021
Nantahala Capital Management, LLC MA 0 2624972 0 2624972 2624972 9.9 % 16/02/2021
Daniel Mack USA 0 2624972 0 2624972 2624972 9.9 % 16/02/2021
Wilmot B. Harkey USA 0 2624972 0 2624972 2624972 9.9 % 16/02/2021
Nantahala Capital Management, LLC MA 0 2624972 0 2624972 2624972 9.9 % 16/02/2021
Daniel Mack USA 0 2624972 0 2624972 2624972 9.9 % 16/02/2021
Wilmot B. Harkey USA 0 2624972 0 2624972 2624972 9.9 % 16/02/2021
Stonepine Capital, L.P. Delaware 2603480 0 2603480 0 2603480 9.99 % 12/02/2021
Stonepine Capital Management, LLC California 2603480 0 2603480 0 2603480 9.99 % 12/02/2021
Stonepine Capital Management, LLC California 2603480 0 2603480 0 2603480 9.99 % 12/02/2021
Stonepine Capital, L.P. Delaware 2603480 0 2603480 0 2603480 9.99 % 12/02/2021
Neil Gagnon USA 162493 2794582 162493 2835985 2998478 11.6 % 05/02/2021
Gagnon Advisors, LLC Delaware 0 1200769 0 1200769 1200769 4.7 % 05/02/2021
Gagnon Securities LLC Delaware 0 1506920 0 1539507 1539507 6 % 05/02/2021
Neil Gagnon USA 162493 2434259 162493 2473279 2635772 10.72 % 13/10/2020
Neil Gagnon USA 162493 2434259 162493 2473279 2635772 10.72 % 13/10/2020
Nantahala Capital Management, LLC MA 0 2129855 0 2129855 2129855 9.9 % 14/02/2020
Wilmot B. Harkey USA 0 2129855 0 2129855 2129855 9.9 % 14/02/2020
Daniel Mack USA 0 2129855 0 2129855 2129855 9.9 % 14/02/2020
Wilmot B. Harkey USA 0 2129855 0 2129855 2129855 9.9 % 14/02/2020
Daniel Mack USA 0 2129855 0 2129855 2129855 9.9 % 14/02/2020
Nantahala Capital Management, LLC MA 0 2129855 0 2129855 2129855 9.9 % 14/02/2020
Laurence W. Lytton USA 2642832 23100 2642832 23100 2665932 9.99 % 14/02/2020
Stonepine Capital Management, LLC California 2141279 0 2141279 0 2141279 9.99 % 13/02/2020
Stonepine Capital, L.P. Delaware 2141279 0 2141279 0 2141279 9.99 % 13/02/2020
Stonepine Capital Management, LLC California 2141279 0 2141279 0 2141279 9.99 % 13/02/2020
Stonepine Capital, L.P. Delaware 2141279 0 2141279 0 2141279 9.99 % 13/02/2020
Neil Gagnon USA 157920 1907899 157920 1944132 2102052 9.9 % 13/02/2020
Laurence W. Lytton USA 2567419 21700 2567419 21700 2589119 9.99 % 26/08/2019
Laurence W. Lytton USA 2567419 21700 2567419 21700 2589119 11.2 % 15/08/2019
Stonepine Capital Management, LLC California 2580518 0 2580518 0 2580518 11.8 % 14/02/2019
Stonepine Capital Management, LLC California 2580518 0 2580518 0 2580518 11.8 % 14/02/2019
Stonepine Capital, L.P. Delaware 2580518 0 2580518 0 2580518 11.8 % 14/02/2019
Stonepine Capital, L.P. Delaware 2580518 0 2580518 0 2580518 11.8 % 14/02/2019
Nantahala Capital Management, LLC MA 0 1760562 0 1760562 1760562 8 % 14/02/2019
Wilmot B. Harkey USA 0 1760562 0 1760562 1760562 8 % 14/02/2019
Nantahala Capital Management, LLC MA 0 1760562 0 1760562 1760562 8 % 14/02/2019
Daniel Mack USA 0 1760562 0 1760562 1760562 8 % 14/02/2019
Daniel Mack USA 0 1760562 0 1760562 1760562 8 % 14/02/2019
Wilmot B. Harkey USA 0 1760562 0 1760562 1760562 8 % 14/02/2019
Neil Gagnon USA 157920 1512153 157920 1537603 1695523 7.7 % 18/01/2019
Neil Gagnon USA 157920 1512153 157920 1537603 1695523 7.7 % 18/01/2019
Laurence W. Lytton USA 1391584 21200 1391584 21200 1412784 6.5 % 02/01/2019
Neil Gagnon USA 88208 1049785 88208 1069901 1158109 5.29 % 21/12/2018
Stonepine Capital, L.P. Delaware 2560314 0 2560314 0 2560314 14.8 % 13/02/2018
Stonepine Capital Management, LLC California 2560314 0 2560314 0 2560314 14.8 % 13/02/2018
Stonepine Capital Management, LLC California 2560314 0 2560314 0 2560314 14.8 % 13/02/2018
Stonepine Capital, L.P. Delaware 2560314 0 2560314 0 2560314 14.8 % 13/02/2018
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio Massachusetts 0 0 0 0 0 0 % 08/02/2018
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio Massachusetts 0 0 0 0 0 0 % 08/02/2018
Stonepine Capital, L.P. Delaware 2364707 0 2364707 0 2364707 13.7 % 18/08/2017
Stonepine Capital Management, LLC California 2364707 0 2364707 0 2364707 13.7 % 18/08/2017
Stonepine Capital, L.P. Delaware 2364707 0 2364707 0 2364707 13.7 % 18/08/2017
Stonepine Capital Management, LLC California 2364707 0 2364707 0 2364707 13.7 % 18/08/2017
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio Massachusetts 0 573200 0 573200 573200 5.36 % 31/07/2017
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio Massachusetts 0 573200 0 573200 573200 5.36 % 31/07/2017
HBM Healthcare Investments Ltd. Cayman Islands British West Indies 36114 0 36114 0 36114 0.3375 % 14/02/2017
HBM Healthcare Investments Ltd. Cayman Islands British West Indies 36114 0 36114 0 36114 0.3375 % 14/02/2017
Remeditex Ventures LLC Texas 0 1309392 0 1309392 1309392 12.2 % 09/01/2017
Lyda Hill United States 0 1309392 0 1309392 1309392 12.2 % 09/01/2017
Malachite Trust Texas 0 1309392 0 1309392 1309392 12.2 % 09/01/2017
Sabby Healthcare Master Fund, Ltd. Cayman Islands 0 14500 0 14500 14500 0.14 % 06/01/2017
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 9600 0 9600 9600 0.09 % 06/01/2017
Sabby Management, LLC Delaware, USA 0 24100 0 24100 24100 0.23 % 06/01/2017
Hal Mintz USA 0 24100 0 24100 24100 0.23 % 06/01/2017
Sabby Healthcare Master Fund, Ltd. Cayman Islands 0 2154400 0 2154400 2154400 6.65 % 12/01/2016
Sabby Management, LLC Delaware, USA 0 2902000 0 2902000 2902000 8.95 % 12/01/2016
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 747600 0 747600 747600 2.31 % 12/01/2016
Hal Mintz USA 0 2902000 0 2902000 2902000 8.95 % 12/01/2016
Sabby Management, LLC Delaware, USA 0 1925832 0 1925832 1925832 9.99 % 16/01/2015
Hal Mintz USA 0 1925832 0 1925832 1925832 9.99 % 16/01/2015
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 1136317 0 1136317 1136317 5.89 % 16/01/2015
Sabby Healthcare Master Fund, Ltd. Cayman Islands 0 1467250 0 1467250 1467250 7.61 % 16/01/2015
HBM Healthcare Investments Cayman Islands, British West Indies 4110338 0 4110338 0 4110338 19.999 % 03/10/2014
Sabby Management, LLC Delaware, USA 0 1920448 0 1920448 1920448 9.99 % 23/09/2014
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 1220448 0 1220448 1220448 6.35 % 23/09/2014
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 920448 0 920448 920448 4.79 % 23/09/2014
Hal Mintz USA 0 1920448 0 1920448 1920448 9.99 % 23/09/2014
s Ailsa Craig Trust Cook Islands 382400 0 382400 0 382400 5 % 20/06/2014
s Michael Svensson, as Trustee of the Ailsa Craig Trust USA 382400 0 382400 0 382400 5 % 20/06/2014
HBM Healthcare Investments Cayman Islands, British West Indies 695555 0 695555 0 695555 5.28 % 14/02/2014
Franklin Advisers, Inc. California 877700 0 877700 0 877700 6.7 % 11/02/2014
Rupert H. Johnson, Jr. USA 4 4 4 4 877700 6.7 % 11/02/2014
Charles B. Johnson USA 4 4 4 4 877700 6.7 % 11/02/2014
Franklin Resources, Inc. Delaware 4 4 4 4 877700 6.7 % 11/02/2014
Michael Svensson, as Trustee of the Ailsa Craig Trust USA 698572 0 698572 0 698572 5.22 % 10/02/2014
Ailsa Craig Trust Cook Islands 698572 0 698572 0 698572 5.22 % 10/02/2014
Roaring Fork Capital Management, LLC Taxpayer I.D. No. Colorado 511429 0 511429 0 511429 4.83 % 07/02/2013
Roaring Fork Capital SBIC, L.P. Taxpayer I.D. No. Delaware 511429 0 511429 0 511429 4.83 % 07/02/2013
Eugene C. McColley United States 511429 0 511429 0 511429 4.83 % 07/02/2013
S Ailsa Craig Trust Cook Islands 648858 0 648858 0 648858 4.95 % 07/02/2013
S Michael Svensson, as Trustee of the Ailsa Craig Trust USA 648858 0 648858 0 648858 4.95 % 07/02/2013
Harris William Investors Delaware 0 0 0 0 10 0 % 09/02/2012
SS OR Maryland 331500 2644197 2644197 5 % 07/02/2012
SS OR Maryland 331500 3035197 3035197 5 % 01/02/2012
S Ailsa Craig Trust Cook Islands 4900000 0 4900000 0 4900000 8.1 % 30/01/2012
S Michael Svensson, as Trustee of the Ailsa Craig Trust USA 4900000 0 4900000 0 4900000 8.1 % 30/01/2012
Johnson & Johnson Development Corporation New Jersey 0 0 0 0 0 0 % 24/01/2012
Johnson & Johnson New Jersey 0 0 0 0 0 0 % 24/01/2012
Harris William Investors Delaware 5328669 0 5328669 0 5328669 9.6 % 14/02/2011
and No. of Such Person The Peierls Foundation, Inc. Taxpayer I.D. No. New York USA 0 0 0 3781039 3781039 6.2 % 14/02/2011
and No. of Such Person E. Jeffrey Peierls USA 0 0 0 568434 5902571 9.6 % 14/02/2011
and No. of Such Person Brian E. Peierls USA 0 0 0 530669 4722755 7.7 % 14/02/2011
S Ailsa Craig Trust Cook Islands 4900000 0 4900000 0 4900000 8.1 % 14/01/2011
S Juan Carlos Bou, as Trustee of the Ailsa Craig Trust USA 4900000 0 4900000 0 4900000 8.1 % 14/01/2011
E. Jeffrey Peierls USA 1377359 5550882 10.33 % 19/01/2010
The Peierls Foundation, Inc. Taxpayer I.D. No. New York, USA 3872024 3872024 7.21 % 19/01/2010
Brian E. Peierls USA 391389 4605648 8.54 % 19/01/2010

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District
Tom Malinowski 2020-10-30 2021-08-26 Purchase $1,001 - $15,000 NJ07