Newton Todd

SEC source: 0001376339-26-000044 · wk-form4_1781278368.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 463,684

F1 · shares: Represents annual restricted stock grant to non-employee directors. Grant is exempt under Rule 16b-3. The award vests upon the earlier of 12 months or the next meeting of shareholders.

SEC source: 0001376339-24-000048 · wk-form4_1717705217.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 384,162

F1 · shares: Represents annual restricted stock grant to non-employee directors. Grant is exempt under Rule 16b-3. The award vests upon the earlier of 12 months or the next annual meeting of shareholders.

SEC source: 0001376339-23-000037 · wk-form4_1686867050.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 360,972

F1 · shares: Represents annual restricted stock unit grant to non-employee directors. Grant is exempt under Rule 16b-3. The award vests upon the earlier of 12 months or the next annual meeting of shareholders.

SEC source: 0001376339-22-000116 · wf-form4_166362917429543.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,618

F1 · shares: Reflects grant of restricted stock units which will be settled in common stock following vesting. Award vests on the one-year anniversary of the grant date, subject to the terms and conditions described in the Restricted Stock Unit Agreement.

SEC source: 0001376339-22-000093 · wf-form4_165516011895878.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,618

F1 · shares: Represents annual restricted stock grant to non-employee directors. Grant is exempt under Rule 16b-3. The award vests upon the earlier of 12 months or the next annual meeting of shareholders.

SEC source: 0001376339-21-000079 · wf-form4_162222708227992.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,427

F1 · kind: Represents annual restricted stock grant to non-employee directors. Grant is exempt under Rule 16b-3. The award vests upon the earlier of 12 months or the next annual meeting of shareholders.

SEC source: 0001251769-21-000004 · wf-form4_161005537266690.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,306

F1 · kind: Represents shares of the Issuer's common stock paid as interest on $412,000 aggregate principal amount of the Reporting Person's 6.0% Convertible Debentures, or the Notes, previously reported, for the interest payment period from and including July 1, 2020, the issue date of the Notes, to, but excluding, January 1, 2021. Interest on the Notes is payable semi-annually in shares of the Issuer's common stock on January 1 and July 1 of each year at a rate of 6.00% per year and based on the volume-weighted average price of the Issuer's common stock for the 10 consecutive trading days immediately preceding the applicable interest payment date.

SEC source: 0001376339-20-000128 · wf-form4_160192887818913.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,371

F1 · shares: Represents annual restricted stock grant to non-employee directors. Grant is exempt under Rule 16b-3. Award vests after 12 months.

SEC source: 0001376339-20-000090 · wf-form4_159674638657105.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,135

F1 · security: On August 5, 2020, based on the closing stock price on that date ($5.90), the Company fixed the number of shares of common stock subject to a previously-granted restricted stock unit award. Award vests upon the earlier of one year or the 2019 annual meeting of shareholders, and will be settled in common stock upon vesting. The grant is exempt under Rule 16b-3.

F1 · price: On August 5, 2020, based on the closing stock price on that date ($5.90), the Company fixed the number of shares of common stock subject to a previously-granted restricted stock unit award. Award vests upon the earlier of one year or the 2019 annual meeting of shareholders, and will be settled in common stock upon vesting. The grant is exempt under Rule 16b-3.

SEC source: 0001460878-20-000005 · wf-form4_158923076033611.xml · derivative · entry 2

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 511,604

Underlying: Common Stock · 115,094 shares

Expires 2030-05-07

F2 · date: The shares underlying the option shall vest as to 33% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following two years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan.

F2 · derivative.exercise_date: The shares underlying the option shall vest as to 33% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following two years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan.

SEC source: 0001460878-20-000005 · wf-form4_158923076033611.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,827

F1 · date: Represents the grant of Restricted Stock Units ("RSU"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock pursuant to the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The RSUs vest in equal annual installments over three years commencing on the grant date, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Incentive Plan.

SEC source: 0001460878-20-000003 · wf-form4_157834677632705.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,752

F1 · kind: Represents shares of the Issuer's common stock paid as interest on $400,000 aggregate principal amount of the Reporting Person's 6.0% Convertible Debentures, or the Notes, previously reported, for the interest payment period from and including August 12, 2019, the issue date of the Notes, to, but excluding, January 1, 2020. Interest on the Notes is payable semi-annually in shares of the Issuer's common stock on January 1 and July 1 of each year at a rate of 6.00% per year and based on the volume-weighted average price of the Issuer's common stock for the 10 consecutive trading days immediately preceding the applicable interest payment date.

F2 · balance_after: This figure has also been updated to include existing amounts inadvertently excluded from a prior report.

SEC source: 0001251769-19-000068 · wf-form4_156581645573414.xml · derivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Sock · 123,077 shares

Expires 2024-08-12

F1 · security: Pursuant to a securities purchase agreement (the "Purchase Agreement"), dated as of August 7, 2019, the Issuer issued and sold $20.0 million aggregate principal amount of 6.0% Convertible Debentures (the "Notes") to certain purchasers. The Notes are initially convertible into shares of the Issuer's common stock, par value $0.001 per share, subject to certain adjustments.

F2 · reported_value: Interest on the Notes is payable semi-annually in shares of the Issuer's common stock on January 1 and July 1 of each year, beginning on January 1, 2020, at a rate of 6.00% per year and based on the average volume-weighted average price, or VWAP, of the Issuer's common stock for the 10 consecutive trading days immediately preceding the applicable interest payment date. However, interest will be paid in-kind on such interest payments dates if (i) the average VWAP of the Issuer's common stock for the 10 consecutive trading days immediately preceding such interest payment date is less than $2.50 per share, or (ii) the Issuer fails to satisfy certain common stock delivery obligations upon conversion of the Notes.

SEC source: 0001251769-19-000052 · wf-form4_155786927977547.xml · nonDerivative · entry 2

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,268

SEC source: 0001251769-19-000052 · wf-form4_155786927977547.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,668

SEC source: 0001251769-19-000046 · wf-form4_155751883417068.xml · derivative · entry 2

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,510

Underlying: Common Sock · 48,673 shares

Expires 2029-05-07

F2 · date: The shares underlying the option shall vest as to 25% on the first anniversary of the grant date and the remainder will vest in equal month installments over the following three years.

SEC source: 0001251769-19-000046 · wf-form4_155751883417068.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,668

F1 · date: Represents grant of restricted stock units payable solely in common stock that vest in annual installments over four years from the grant date.

SEC source: 0001251769-18-000071 · wf-form4_152969964547136.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,606

SEC source: 0001460878-18-000002 · wf-form4_152001993926395.xml · derivative · entry 2

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,250

Underlying: Common Stock · 86,250 shares

Expires 2028-02-28

F2 · date: The shares underlying the option shall vest as to 25% on the first anniversary of the grant date and the remainder will vest in equal month installments over the following three years.

SEC source: 0001460878-18-000002 · wf-form4_152001993926395.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,879

F1 · date: Represents grant of restricted stock units payable solely in common stock that vest in annual installments over four years from the grant date.

SEC source: 0001179110-17-010713 · edgar.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,129

SEC source: 0001179110-17-007558 · edgar.xml · nonDerivative · entry 3

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,766

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.30 to $6.42, inclusive.

SEC source: 0001179110-17-007558 · edgar.xml · nonDerivative · entry 2

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,944

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.12 to $6.26, inclusive.

SEC source: 0001179110-17-007558 · edgar.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,544

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.97 to $6.19, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

SEC source: 0001179110-16-033593 · edgar.xml · derivative · entry 3

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,109

Underlying: Common Stock · 112,109 shares

Expires 2024-07-07

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F3 · price: On July 8, 2014, Reporting Person was granted an option to purchase 1,949,247 shares of the common stock of Old Apollo under Old Apollo's Equity Incentive Plan at an exercise price of $0.19 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 112,109 shares of the Issuer's common stock at a per share exercise price of $3.36. Subject to Reporting Person's continued employment, 100% of the option will vest and become exercisable upon Old Apollo's achievement of certain global revenue and EBITDA targets for calendar years 2016 and 2017. Upon a change of control of the Issuer, 50% of the any unvested portion of the option will become fully vested and exercisable, and if, after the occurrence of a change in control the employment of Reporting Person is either terminated by the Issuer without cause or by Reporting Person for good reason, 100% of any unvested portion of the option will become fully vested and exercisable.

F3 · derivative.exercise_date: On July 8, 2014, Reporting Person was granted an option to purchase 1,949,247 shares of the common stock of Old Apollo under Old Apollo's Equity Incentive Plan at an exercise price of $0.19 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 112,109 shares of the Issuer's common stock at a per share exercise price of $3.36. Subject to Reporting Person's continued employment, 100% of the option will vest and become exercisable upon Old Apollo's achievement of certain global revenue and EBITDA targets for calendar years 2016 and 2017. Upon a change of control of the Issuer, 50% of the any unvested portion of the option will become fully vested and exercisable, and if, after the occurrence of a change in control the employment of Reporting Person is either terminated by the Issuer without cause or by Reporting Person for good reason, 100% of any unvested portion of the option will become fully vested and exercisable.

SEC source: 0001179110-16-033593 · edgar.xml · derivative · entry 2

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,587

Underlying: Common Stock · 261,587 shares

Expires 2024-07-07

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F2 · price: On July 8, 2014, Reporting Person was granted an option to purchase 4,548,243 shares of the common stock of Old Apollo under Old Apollo's Equity Incentive Plan at an exercise price of $0.19 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 261,587 shares of the Issuer's common stock at a per share exercise price of $3.36. Subject to Reporting Person's continued employment, one quarter of the option vested and became exercisable on July 8, 2015 with the remainder vesting quarterly thereafter through 2018. Upon a change of control of the Issuer, 50% of any unvested portion of the option will become fully vested and exercisable, and if, after the occurrence of a change of control the employment of Reporting Person is either terminated by the Issuer without cause or by Reporting Person for good reason, 100% of any unvested portion of the option will become fully vested and exercisable.

F2 · derivative.exercise_date: On July 8, 2014, Reporting Person was granted an option to purchase 4,548,243 shares of the common stock of Old Apollo under Old Apollo's Equity Incentive Plan at an exercise price of $0.19 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 261,587 shares of the Issuer's common stock at a per share exercise price of $3.36. Subject to Reporting Person's continued employment, one quarter of the option vested and became exercisable on July 8, 2015 with the remainder vesting quarterly thereafter through 2018. Upon a change of control of the Issuer, 50% of any unvested portion of the option will become fully vested and exercisable, and if, after the occurrence of a change of control the employment of Reporting Person is either terminated by the Issuer without cause or by Reporting Person for good reason, 100% of any unvested portion of the option will become fully vested and exercisable.

SEC source: 0001179110-16-033593 · edgar.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,645

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F1 · price: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

SEC source: 0001376339-25-000075 · wk-form4_1750718810.xml · nonDerivative · entry 1

Newton Todd · CIK 0001460878 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 412,771

F1 · shares: Represents annual restricted stock grant to non-employee directors. Grant is exempt under Rule 16b-3. The award vests upon the earlier of 12 months or the next annual meeting of shareholders