IPO registrations (S-1, F-1) · Registrants

Apollo Endosurgery, Inc.

SEC CIK
1251769 · filings on EDGAR ↗
Former names
LPATH, INC (2005–2016); LPATH INC (2005–2006); NEIGHBORHOOD CONNECTIONS INC (2004–2005); JCG INC (2003–2004)
Registration
Form S-1, first filed 2008-09-11, last 2017-07-18; 4 initial registrations, 9 amendments
Outcome
Final prospectus filed 2012-03-07; declared effective 2008-09-29
Industry (SIC)
Surgical & Medical Instruments & Apparatus 3841
Incorporated in
DE
Business address
1120 SOUTH CAPITAL OF TX HWY, BUILDING 1 SUITE 300, Austin, TX 78746
EIN
16-1630142
EDGAR entity type
operating
Insiders and CEO pay
Apollo Endosurgery, Inc. on the corporate pages

Offering terms

Final price
$0.75 per share (424B4 filed 2012-03-07)
Shares sold
12,358,667
Gross proceeds
$9,269,000 before underwriting discounts and any over-allotment option
Listing
OTC under the symbol LPTN
Lead underwriters
Summer Street Research Partners
Syndicate
Morgan Joseph TriArtisan

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

Filings 44

FiledFormWhat it isName as filedEDGAR
2008-09-11S-1S-1 (registration)LPATH, INC0001104659-08-058150 ↗
2008-09-19S-1/AS-1/A (amendment)LPATH, INC0001104659-08-059651 ↗
2008-09-25S-1/AS-1/A (amendment)LPATH, INC0001104659-08-060259 ↗
2008-09-29EFFECTEFFECT (declared effective)LPATH, INC9999999995-08-002987 ↗
2009-05-13EFFECTEFFECT (declared effective)LPATH, INC9999999995-09-001386 ↗
2009-05-13EFFECTEFFECT (declared effective)LPATH, INC9999999995-09-001387 ↗
2009-05-13EFFECTEFFECT (declared effective)LPATH, INC9999999995-09-001394 ↗
2010-05-28EFFECTEFFECT (declared effective)LPATH, INC9999999995-10-001651 ↗
2010-05-28EFFECTEFFECT (declared effective)LPATH, INC9999999995-10-001654 ↗
2010-05-28EFFECTEFFECT (declared effective)LPATH, INC9999999995-10-001656 ↗
2010-12-07S-1S-1 (registration)LPATH, INC0001193125-10-275639 ↗
2010-12-21S-1/AS-1/A (amendment)LPATH, INC0001193125-10-285516 ↗
2010-12-23EFFECTEFFECT (declared effective)LPATH, INC9999999995-10-003702 ↗
2011-05-06EFFECTEFFECT (declared effective)LPATH, INC9999999995-11-001421 ↗
2011-05-06EFFECTEFFECT (declared effective)LPATH, INC9999999995-11-001422 ↗
2011-05-06EFFECTEFFECT (declared effective)LPATH, INC9999999995-11-001429 ↗
2011-12-07S-1S-1 (registration)LPATH, INC0001047469-11-009953 ↗
2011-12-23S-1/AS-1/A (amendment)LPATH, INC0001047469-11-010202 ↗
2012-02-10S-1/AS-1/A (amendment)LPATH, INC0001047469-12-000837 ↗
2012-02-14S-1/AS-1/A (amendment)LPATH, INC0001047469-12-000933 ↗
2012-02-14S-1/AS-1/A (amendment)LPATH, INC0001047469-12-000993 ↗
2012-02-14EFFECTEFFECT (declared effective)LPATH, INC9999999995-12-000495 ↗
2012-03-07424B4424B4 (final prospectus)LPATH, INC0001047469-12-002183 ↗
2012-05-09EFFECTEFFECT (declared effective)LPATH, INC9999999995-12-001468 ↗
2012-05-09EFFECTEFFECT (declared effective)LPATH, INC9999999995-12-001470 ↗
2012-05-09EFFECTEFFECT (declared effective)LPATH, INC9999999995-12-001474 ↗
2012-05-09EFFECTEFFECT (declared effective)LPATH, INC9999999995-12-001481 ↗
2012-11-14EFFECTEFFECT (declared effective)LPATH, INC9999999995-12-003279 ↗
2013-04-25EFFECTEFFECT (declared effective)LPATH, INC9999999995-13-001140 ↗
2013-04-25EFFECTEFFECT (declared effective)LPATH, INC9999999995-13-001143 ↗
2013-08-23EFFECTEFFECT (declared effective)LPATH, INC9999999995-13-002505 ↗
2014-04-02EFFECTEFFECT (declared effective)LPATH, INC9999999995-14-000845 ↗
2014-10-23EFFECTEFFECT (declared effective)LPATH, INC9999999995-14-003133 ↗
2015-04-10EFFECTEFFECT (declared effective)LPATH, INC9999999995-15-000840 ↗
2016-04-12EFFECTEFFECT (declared effective)LPATH, INC9999999995-16-004184 ↗
2016-09-06EFFECTEFFECT (declared effective)LPATH, INC9999999995-16-005621 ↗
2016-12-01EFFECTEFFECT (declared effective)LPATH, INC9999999995-16-006353 ↗
2017-06-14S-1S-1 (registration)Apollo Endosurgery, Inc.0001047469-17-004002 ↗
2017-07-12S-1/AS-1/A (amendment)Apollo Endosurgery, Inc.0001047469-17-004522 ↗
2017-07-18S-1/AS-1/A (amendment)Apollo Endosurgery, Inc.0001047469-17-004642 ↗
2017-07-19S-1MEFS-1MEF (added securities)Apollo Endosurgery, Inc.0001047469-17-004675 ↗
2017-07-19EFFECTEFFECT (declared effective)Apollo Endosurgery, Inc.9999999995-17-001858 ↗
2017-07-21424B4424B4 (final prospectus)Apollo Endosurgery, Inc.0001047469-17-004720 ↗
2017-12-20EFFECTEFFECT (declared effective)Apollo Endosurgery, Inc.9999999995-17-003271 ↗

Prospectus pages read 2

FiledFormRead asRangePriceSharesProceedsListingUnderwritersWhat was foundDocument
2012-02-14S-1/Aregistration statement12,500,000-OTC LPTN2primary document; shares headline, cover names 2document ↗
2012-03-07424B4final prospectus$0.7512,358,667$9,269,000OTC LPTN2primary document; price sentence, shares headline, proceeds table, cover names 2document ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
LYON JOHN RDirector12006
MATHEWS CHARLESDirector162006–2016
Swortwood DonaldDirector; Director,TenPercentOwner162006–2016
Swortwood GeoffreyDirector22006
PANCOAST SCOTT RDirector,Officer; OfficerPresident and CEO; President & CEO312006–2014
Hansen GenevieveOfficerVice President of R&D; Vice President Research; Vice President, Research; VP - Research62006–2008
Purcell DavidDirector22006
Sabbadini Roger AllenDirector,Officer; OfficerVP & Chief Scientific Officer112007–2012
Roaring Fork Capital SBIC, L.P.TenPercentOwner12007
Ferrell JeffreyDirector132007–2016
LEHMAN BROTHERS HOLDINGS INCTenPercentOwner32007–2008
Swortwood LetitiaTenPercentOwner12007
Atkinson Gary J GOfficerCEO and CFO; Chief Executive and CFO; Senior Vice President and CFO; Senior Vice President. & CFO; Sr. Vice President & CFO; Sr. VP and CFO; Vice Prsident, CFO & Secretary; VP and Chief Financial Officer; VP & CFO; VP, CFO and Secretary152007–2016
Garland William AOfficerVP - Drug Development22007–2008
Bender John FOfficerSenior VP-Research & Develop.22008
BARCLAYS PLCTenPercentOwner32008–2011
Petree Daniel HDirector152008–2016
KISNER DANIEL LDirector72012–2016
Paggiarino Dario A.OfficerChief Development Officer; Sr VP & Chief Dev Officer; Sr VP & Chief Dev. Officer62013–2016
Woodnutt GaryOfficerChief Scientific Offcer; Sr VP of Research62013–2016
HBM Healthcare Investments (Cayman) Ltd.TenPercentOwner12014
Lack MichaelOfficerInterim CEO22014
Anderson Rick DDirector; Director,TenPercentOwner102016–2022
Cavanaugh Stefanie L.OfficerCFO, Treasurer, Secretary132016–2021
Crawford Matthew SDirector; Director,TenPercentOwner; TenPercentOwner122016–2021
Creecy John WDirector; Director,TenPercentOwner22016
H.I.G. Ventures - Endosurgery, LLCTenPercentOwner22016
McClellan William D. Jr.Director112016–2023
McGaughy R Kent JrDirector; Director,TenPercentOwner102016–2023
McWilliams Dennis L.OfficerPresident, CCO32016–2017
MEELIA RICHARD JDirector52016–2018
Newton ToddDirector,OfficerChief Executive Officer122016–2021
Nielsen JackDirector12016
PTV IV, L.P.TenPercentOwner72016–2021
PTV SCIENCES II L PTenPercentOwner72016–2021
PTV Special Opportunities I, L.P.TenPercentOwner72016–2021
Remeditex Ventures LLCTenPercentOwner22016
Robertson Bruce CDirector; Director,TenPercentOwner22016
Schwartzhoff BretOfficerV.P. U.S. Sales and Marketing; VP, US Sales & Marketing82016–2021
Tribie CharlesOfficerExecutive V.P. of Operations; Exec VP of Ops32016–2017
Novo A/STenPercentOwner32017
Gostout Christopher J.OfficerChief Medical Officer82017–2023
PTV Evergreen Fund, L.P.TenPercentOwner32017
STONEPINE CAPITAL, L.P.TenPercentOwner102017–2019
Pinto Technology Ventures GP II, L.P.TenPercentOwner42017–2021
Pinto TV GP CO LLCTenPercentOwner42017–2021
PTV GP Evergreen, L.P.TenPercentOwner22017
PTV GP III Management, LLCTenPercentOwner42017–2021
PTV GP IV, L.P.TenPercentOwner42017–2021
PTV GP SO I, L.P.TenPercentOwner42017–2021
Pacitti DavidDirector92017–2023
Molesphini John JOfficerEVP, Operations72018–2023
Shimer Julie AnnDirector72018–2023
BARR JOHN RDirector72019–2023
CPMG IncTenPercentOwner; TenPercentOwner,Other62019–2023
Traweek James W JRTenPercentOwner22019–2020
Gagnon NeilTenPercentOwner112020–2021
McKhann ChasDirector,OfficerPresident and CEO72021–2023
Black Jeffrey G.OfficerChief Financial Officer72021–2023
Gutteridge MikeOfficerVP, Int'l Sales and Marketing52022–2023
Bankes JeannetteDirector32022–2023
O'KEEFE SHARONDirector32022–2023
Desai Antal RohitTenPercentOwner22022–2023

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Private offerings before or after (Form D)

First filedIssuerIndustryOfferingSoldInvestorsFilings
2020-07-30Apollo Endosurgery, Inc.Biotechnology$24,982,480$24,982,480181
2019-08-27Apollo Endosurgery, Inc.Biotechnology$20,000,000$20,000,000181
2014-10-07LPATH, INCBiotechnology$12,527,521$12,527,52131

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

RecordName as filedWhereDatasetMatched by
Form D issuerApollo Endosurgery, Inc.TXForm D private offeringsCIK (EXACT)
Patent assigneeApollo Endosurgery, Inc.TXPatents (USPTO)name and state
SEC filerApollo Endosurgery, Inc.SEC filers (EDGAR)CIK (EXACT)
Trademark ownerApollo Endosurgery, IncTXTrademarks (USPTO)name and state
Form 5500 plan sponsorLPATH, INC.EIN (EXACT)

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.

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SIC industry Surgical & Medical Instruments & Apparatus, TX first:

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Interests: Surgical & Medical Instruments & Apparatus · Technology