Cavanaugh Stefanie L.

SEC source: 0001641172-25-013811 · ownership.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,937 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Aspira Women's Health Inc. Stock

F3 · derivative.exercise_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,937 of which vested on June 4, 2025. The common stock into which such vested RSUs converted on June 4, 2025 is reported in Table I on this Form 4.

F3 · derivative.expiration_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,937 of which vested on June 4, 2025. The common stock into which such vested RSUs converted on June 4, 2025 is reported in Table I on this Form 4.

SEC source: 0001641172-25-013811 · ownership.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,726

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units (RSUs) into common stock. On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,937 of which vested on June 4, 2025. Such RSUs were previously reported in Table II on a Form 4 filed with the SEC on August 26, 2024.

SEC source: 0001641172-25-002184 · ownership.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,937

Underlying: Common Stock · 5,938 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Aspira Women's Health Inc. Stock

F3 · derivative.exercise_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,938 of which vested on March 31, 2025. The common stock into which such vested RSUs converted on March 31, 2025 is reported in Table I on this Form 4.

F3 · derivative.expiration_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,938 of which vested on March 31, 2025. The common stock into which such vested RSUs converted on March 31, 2025 is reported in Table I on this Form 4.

SEC source: 0001641172-25-002184 · ownership.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,789

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units (RSUs) into common stock. On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,938 of which vested on March 31, 2025. Such RSUs were previously reported in Table II on a Form 4 filed with the SEC on August 26, 2024.

SEC source: 0001688530-25-000001 · primary_doc.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,875

Underlying: Common Stock · 5,937 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Aspira Women's Health Inc. Stock.

F3 · derivative.exercise_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,937 of which vested on December 31, 2024. The common stock into which such vested RSUs converted on December 31, 2024 is reported in Table I on this Form 4.

F3 · derivative.expiration_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,937 of which vested on December 31, 2024. The common stock into which such vested RSUs converted on December 31, 2024 is reported in Table I on this Form 4.

SEC source: 0001688530-25-000001 · primary_doc.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,851

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units (RSUs) into common stock. On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,937 of which vested on December 31, 2024. Such RSUs were previously reported in Table II on a Form 4 filed with the SEC on August 26, 2024.

SEC source: 0001688530-24-000002 · primary_doc.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,812

Underlying: Common Stock · 5,938 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Aspira Women's Health Inc. Stock.

F3 · derivative.exercise_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,938 of which vested on September 30, 2024. The common stock into which such vested RSUs converted on September 30, 2024 is reported in Table I on this Form 4.

F3 · derivative.expiration_date: On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,938 of which vested on September 30, 2024. The common stock into which such vested RSUs converted on September 30, 2024 is reported in Table I on this Form 4.

SEC source: 0001688530-24-000002 · primary_doc.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,914

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units (RSUs) into common stock. On August 22, 2024, the reporting person was granted 23,750 RSUs, 5,938 of which vested on September 30, 2024. Such RSUs were previously reported in Table II on a Form 4 filed with the SEC on August 26, 2024.

SEC source: 0000950170-24-100336 · ownership.xml · derivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,750

Underlying: Common Stock · 23,750 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: The award will vest in four substantially equal installments on September 30, 2024, December 31, 2024, March 31, 2025 and the date of the annual shareholders' meeting, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

F2 · derivative.expiration_date: The award will vest in four substantially equal installments on September 30, 2024, December 31, 2024, March 31, 2025 and the date of the annual shareholders' meeting, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

SEC source: 0000950170-24-096254 · ownership.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,976

F1 · shares: The shares of common stock represent restricted stock units with the contingent right to receive one share of common stock of Aspira Women's Health Inc. for each restricted stock unit. The restricted stock unit vested in full on August 12, 2024.

SEC source: 0001688530-24-000001 · primary_doc.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,268

Underlying: Common Stock, par value $0.001 · 3,268 shares

Expires 2027-07-09

F1 · price: Each share of common stock was purchased together with one warrant to purchase one share of common stock at a price of $1.53.

SEC source: 0001688530-24-000001 · primary_doc.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,172

F1 · price: Each share of common stock was purchased together with one warrant to purchase one share of common stock at a price of $1.53.

SEC source: 0001688530-23-000002 · primary_doc.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,904

SEC source: 0001688530-23-000001 · primary_doc.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,623

F1 · shares: 6,401 of the restricted stock units will vest on June 1, 2023, 11,111 of the restricted stock units will vest on September 1, 2023 and 11,111 of the restricted stock units will vest on December 1, 2023.

SEC source: 0001251769-21-000092 · wf-form4_162568965860824.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,998

F1 · kind: Represents shares of the Issuer's common stock paid as interest on $25,750 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 January 1, 2021, to, but excluding, July 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: 0001251769-21-000035 · wf-form4_161558909403611.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,140

Underlying: Common Stock · 16,627 shares

Expires 2031-03-10

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 monthly installments over the following three 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 25% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following three 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: 0001251769-21-000035 · wf-form4_161558909403611.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,907

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 four 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: 0001251769-21-000003 · wf-form4_161005535584122.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,879

F1 · kind: Represents shares of the Issuer's common stock paid as interest on $25,750 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: 0001251769-20-000058 · wf-form4_158923282509852.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,513

Underlying: Common Stock · 62,718 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: 0001251769-20-000058 · wf-form4_158923282509852.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,661

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: 0001688530-20-000004 · wf-form4_157834689666210.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,661

F1 · kind: Represents shares of the Issuer's common stock paid as interest on $25,000 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.

SEC source: 0001251769-19-000070 · wf-form4_156581657287640.xml · derivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Sock · 7,693 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: 0001251769-19-000048 · wf-form4_155751894887380.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,795

Underlying: Common Stock · 30,973 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: 0001251769-19-000048 · wf-form4_155751894887380.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,455

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: 0001251769-18-000073 · wf-form4_152969973161207.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,569

F1 · balance_after: Amount includes 440 shares of common stock received following vesting and release of restricted stock units, which grants were originally made on May 25, 2017 and previously reported on Form 4.

SEC source: 0001688530-18-000002 · wf-form4_152001961996048.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,438

Underlying: Common Stock · 32,438 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: 0001688530-18-000002 · wf-form4_152001961996048.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,024

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: 0001179110-17-010715 · edgar.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,166

SEC source: 0001251769-17-000043 · edgardoc.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,621

F1 · date: Annual vesting over four years on anniversary of grant date.

SEC source: 0001179110-16-033596 · edgar.xml · derivative · entry 3

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,384

Underlying: Common Stock · 37,384 shares

Expires 2025-05-18

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 May 19, 2015, Reporting Person was granted an option to purchase 650,000 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 37,384 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 March 2, 2016 with the remainder vesting monthly thereafter through 2019. Upon the occurrence of 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 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 May 19, 2015, Reporting Person was granted an option to purchase 650,000 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 37,384 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 March 2, 2016 with the remainder vesting monthly thereafter through 2019. Upon the occurrence of 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 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: 0001179110-16-033596 · edgar.xml · derivative · entry 2

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,627

Underlying: Common Stock · 8,627 shares

Expires 2026-03-02

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 March 3, 2016, Reporting Person was granted an option to purchase 150,000 shares of the common stock of Old Apollo under Old Apollo's Equity Incentive Plan at an exercise price of $0.10 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 8,627 shares of the Issuer's common stock at a per share exercise price of $1.76. Subject to Reporting Person's continued employment, 100% of the option will vest and become exercisable upon the Issuer's achievement of certain global revenue and EBITDA targets. Upon the occurrence of 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 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.

F2 · derivative.exercise_date: On March 3, 2016, Reporting Person was granted an option to purchase 150,000 shares of the common stock of Old Apollo under Old Apollo's Equity Incentive Plan at an exercise price of $0.10 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 8,627 shares of the Issuer's common stock at a per share exercise price of $1.76. Subject to Reporting Person's continued employment, 100% of the option will vest and become exercisable upon the Issuer's achievement of certain global revenue and EBITDA targets. Upon the occurrence of 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 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: 0001179110-16-033596 · edgar.xml · nonDerivative · entry 1

Cavanaugh Stefanie L. · CIK 0001688530 · CFO, Treasurer, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,864

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.