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.
On this site
- Form 5500 plan sponsor: LPATH, INC. EXACT (EIN (EXACT))
- Form D issuer: Apollo Endosurgery, Inc. EXACT (CIK (EXACT))
- SEC filer: Apollo Endosurgery, Inc. EXACT (CIK (EXACT))
Filings 44
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2008-09-11 | S-1 | S-1 (registration) | LPATH, INC | 0001104659-08-058150 ↗ |
| 2008-09-19 | S-1/A | S-1/A (amendment) | LPATH, INC | 0001104659-08-059651 ↗ |
| 2008-09-25 | S-1/A | S-1/A (amendment) | LPATH, INC | 0001104659-08-060259 ↗ |
| 2008-09-29 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-08-002987 ↗ |
| 2009-05-13 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-09-001386 ↗ |
| 2009-05-13 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-09-001387 ↗ |
| 2009-05-13 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-09-001394 ↗ |
| 2010-05-28 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-10-001651 ↗ |
| 2010-05-28 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-10-001654 ↗ |
| 2010-05-28 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-10-001656 ↗ |
| 2010-12-07 | S-1 | S-1 (registration) | LPATH, INC | 0001193125-10-275639 ↗ |
| 2010-12-21 | S-1/A | S-1/A (amendment) | LPATH, INC | 0001193125-10-285516 ↗ |
| 2010-12-23 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-10-003702 ↗ |
| 2011-05-06 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-11-001421 ↗ |
| 2011-05-06 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-11-001422 ↗ |
| 2011-05-06 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-11-001429 ↗ |
| 2011-12-07 | S-1 | S-1 (registration) | LPATH, INC | 0001047469-11-009953 ↗ |
| 2011-12-23 | S-1/A | S-1/A (amendment) | LPATH, INC | 0001047469-11-010202 ↗ |
| 2012-02-10 | S-1/A | S-1/A (amendment) | LPATH, INC | 0001047469-12-000837 ↗ |
| 2012-02-14 | S-1/A | S-1/A (amendment) | LPATH, INC | 0001047469-12-000933 ↗ |
| 2012-02-14 | S-1/A | S-1/A (amendment) | LPATH, INC | 0001047469-12-000993 ↗ |
| 2012-02-14 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-12-000495 ↗ |
| 2012-03-07 | 424B4 | 424B4 (final prospectus) | LPATH, INC | 0001047469-12-002183 ↗ |
| 2012-05-09 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-12-001468 ↗ |
| 2012-05-09 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-12-001470 ↗ |
| 2012-05-09 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-12-001474 ↗ |
| 2012-05-09 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-12-001481 ↗ |
| 2012-11-14 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-12-003279 ↗ |
| 2013-04-25 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-13-001140 ↗ |
| 2013-04-25 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-13-001143 ↗ |
| 2013-08-23 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-13-002505 ↗ |
| 2014-04-02 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-14-000845 ↗ |
| 2014-10-23 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-14-003133 ↗ |
| 2015-04-10 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-15-000840 ↗ |
| 2016-04-12 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-16-004184 ↗ |
| 2016-09-06 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-16-005621 ↗ |
| 2016-12-01 | EFFECT | EFFECT (declared effective) | LPATH, INC | 9999999995-16-006353 ↗ |
| 2017-06-14 | S-1 | S-1 (registration) | Apollo Endosurgery, Inc. | 0001047469-17-004002 ↗ |
| 2017-07-12 | S-1/A | S-1/A (amendment) | Apollo Endosurgery, Inc. | 0001047469-17-004522 ↗ |
| 2017-07-18 | S-1/A | S-1/A (amendment) | Apollo Endosurgery, Inc. | 0001047469-17-004642 ↗ |
| 2017-07-19 | S-1MEF | S-1MEF (added securities) | Apollo Endosurgery, Inc. | 0001047469-17-004675 ↗ |
| 2017-07-19 | EFFECT | EFFECT (declared effective) | Apollo Endosurgery, Inc. | 9999999995-17-001858 ↗ |
| 2017-07-21 | 424B4 | 424B4 (final prospectus) | Apollo Endosurgery, Inc. | 0001047469-17-004720 ↗ |
| 2017-12-20 | EFFECT | EFFECT (declared effective) | Apollo Endosurgery, Inc. | 9999999995-17-003271 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2012-02-14 | S-1/A | registration statement | 12,500,000 | - | OTC LPTN | 2 | primary document; shares headline, cover names 2 | document ↗ | ||
| 2012-03-07 | 424B4 | final prospectus | $0.75 | 12,358,667 | $9,269,000 | OTC LPTN | 2 | primary document; price sentence, shares headline, proceeds table, cover names 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| LYON JOHN R | Director | 1 | 2006 | ||
| MATHEWS CHARLES | Director | 16 | 2006–2016 | ||
| Swortwood Donald | Director; Director,TenPercentOwner | 16 | 2006–2016 | ||
| Swortwood Geoffrey | Director | 2 | 2006 | ||
| PANCOAST SCOTT R | Director,Officer; Officer | President and CEO; President & CEO | 31 | 2006–2014 | |
| Hansen Genevieve | Officer | Vice President of R&D; Vice President Research; Vice President, Research; VP - Research | 6 | 2006–2008 | |
| Purcell David | Director | 2 | 2006 | ||
| Sabbadini Roger Allen | Director,Officer; Officer | VP & Chief Scientific Officer | 11 | 2007–2012 | |
| Roaring Fork Capital SBIC, L.P. | TenPercentOwner | 1 | 2007 | ||
| Ferrell Jeffrey | Director | 13 | 2007–2016 | ||
| LEHMAN BROTHERS HOLDINGS INC | TenPercentOwner | 3 | 2007–2008 | ||
| Swortwood Letitia | TenPercentOwner | 1 | 2007 | ||
| Atkinson Gary J G | Officer | CEO 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 Secretary | 15 | 2007–2016 | |
| Garland William A | Officer | VP - Drug Development | 2 | 2007–2008 | |
| Bender John F | Officer | Senior VP-Research & Develop. | 2 | 2008 | |
| BARCLAYS PLC | TenPercentOwner | 3 | 2008–2011 | ||
| Petree Daniel H | Director | 15 | 2008–2016 | ||
| KISNER DANIEL L | Director | 7 | 2012–2016 | ||
| Paggiarino Dario A. | Officer | Chief Development Officer; Sr VP & Chief Dev Officer; Sr VP & Chief Dev. Officer | 6 | 2013–2016 | |
| Woodnutt Gary | Officer | Chief Scientific Offcer; Sr VP of Research | 6 | 2013–2016 | |
| HBM Healthcare Investments (Cayman) Ltd. | TenPercentOwner | 1 | 2014 | ||
| Lack Michael | Officer | Interim CEO | 2 | 2014 | |
| Anderson Rick D | Director; Director,TenPercentOwner | 10 | 2016–2022 | ||
| Cavanaugh Stefanie L. | Officer | CFO, Treasurer, Secretary | 13 | 2016–2021 | |
| Crawford Matthew S | Director; Director,TenPercentOwner; TenPercentOwner | 12 | 2016–2021 | ||
| Creecy John W | Director; Director,TenPercentOwner | 2 | 2016 | ||
| H.I.G. Ventures - Endosurgery, LLC | TenPercentOwner | 2 | 2016 | ||
| McClellan William D. Jr. | Director | 11 | 2016–2023 | ||
| McGaughy R Kent Jr | Director; Director,TenPercentOwner | 10 | 2016–2023 | ||
| McWilliams Dennis L. | Officer | President, CCO | 3 | 2016–2017 | |
| MEELIA RICHARD J | Director | 5 | 2016–2018 | ||
| Newton Todd | Director,Officer | Chief Executive Officer | 12 | 2016–2021 | |
| Nielsen Jack | Director | 1 | 2016 | ||
| PTV IV, L.P. | TenPercentOwner | 7 | 2016–2021 | ||
| PTV SCIENCES II L P | TenPercentOwner | 7 | 2016–2021 | ||
| PTV Special Opportunities I, L.P. | TenPercentOwner | 7 | 2016–2021 | ||
| Remeditex Ventures LLC | TenPercentOwner | 2 | 2016 | ||
| Robertson Bruce C | Director; Director,TenPercentOwner | 2 | 2016 | ||
| Schwartzhoff Bret | Officer | V.P. U.S. Sales and Marketing; VP, US Sales & Marketing | 8 | 2016–2021 | |
| Tribie Charles | Officer | Executive V.P. of Operations; Exec VP of Ops | 3 | 2016–2017 | |
| Novo A/S | TenPercentOwner | 3 | 2017 | ||
| Gostout Christopher J. | Officer | Chief Medical Officer | 8 | 2017–2023 | |
| PTV Evergreen Fund, L.P. | TenPercentOwner | 3 | 2017 | ||
| STONEPINE CAPITAL, L.P. | TenPercentOwner | 10 | 2017–2019 | ||
| Pinto Technology Ventures GP II, L.P. | TenPercentOwner | 4 | 2017–2021 | ||
| Pinto TV GP CO LLC | TenPercentOwner | 4 | 2017–2021 | ||
| PTV GP Evergreen, L.P. | TenPercentOwner | 2 | 2017 | ||
| PTV GP III Management, LLC | TenPercentOwner | 4 | 2017–2021 | ||
| PTV GP IV, L.P. | TenPercentOwner | 4 | 2017–2021 | ||
| PTV GP SO I, L.P. | TenPercentOwner | 4 | 2017–2021 | ||
| Pacitti David | Director | 9 | 2017–2023 | ||
| Molesphini John J | Officer | EVP, Operations | 7 | 2018–2023 | |
| Shimer Julie Ann | Director | 7 | 2018–2023 | ||
| BARR JOHN R | Director | 7 | 2019–2023 | ||
| CPMG Inc | TenPercentOwner; TenPercentOwner,Other | 6 | 2019–2023 | ||
| Traweek James W JR | TenPercentOwner | 2 | 2019–2020 | ||
| Gagnon Neil | TenPercentOwner | 11 | 2020–2021 | ||
| McKhann Chas | Director,Officer | President and CEO | 7 | 2021–2023 | |
| Black Jeffrey G. | Officer | Chief Financial Officer | 7 | 2021–2023 | |
| Gutteridge Mike | Officer | VP, Int'l Sales and Marketing | 5 | 2022–2023 | |
| Bankes Jeannette | Director | 3 | 2022–2023 | ||
| O'KEEFE SHARON | Director | 3 | 2022–2023 | ||
| Desai Antal Rohit | TenPercentOwner | 2 | 2022–2023 |
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 filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2020-07-30 | Apollo Endosurgery, Inc. | Biotechnology | $24,982,480 | $24,982,480 | 18 | 1 |
| 2019-08-27 | Apollo Endosurgery, Inc. | Biotechnology | $20,000,000 | $20,000,000 | 18 | 1 |
| 2014-10-07 | LPATH, INC | Biotechnology | $12,527,521 | $12,527,521 | 3 | 1 |
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
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Form D issuer | Apollo Endosurgery, Inc. | TX | Form D private offerings | CIK (EXACT) |
| Patent assignee | Apollo Endosurgery, Inc. | TX | Patents (USPTO) | name and state |
| SEC filer | Apollo Endosurgery, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Apollo Endosurgery, Inc | TX | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | LPATH, 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.
Others with the same interests
SIC industry Surgical & Medical Instruments & Apparatus, TX first:
- LUMINEX CORP TX
- Nuo Therapeutics, Inc. TX
- CERENOME, INC. TX
- LDR HOLDING CORP TX
- OxySure Therapeutics, Inc. TX
- Mobia Medical, Inc. TX
- Soliton, Inc. TX
- Autonomix Medical, Inc. TX
- Acelity Holdings, Inc. TX
- KCI Holdings, Inc. TX
In other datasets, the same topic (Technology) in TX:
- Lobbying client: 3001 INC (Federal lobbying (LDA))
Interests: Surgical & Medical Instruments & Apparatus · Technology