person · Reporting owner

Gagnon Neil

Disclosed activity across 7 companies

Tapewire entity: 85824
SEC CIK: 0001070170

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Amber Road, Inc.AMBR · Entity 12617	10% owner	August 09, 2018	August 14, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Amber Road, Inc.

Report date August 09, 2018 · Filed August 14, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	Direct	487,158	Reported balance Holding disclosure · report date 2018-08-09 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 487,158 F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Gagnon Investment Associates	671,219	Reported balance Holding disclosure · report date 2018-08-09 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 671,219
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Darwin Partnership	102,589	Reported balance Holding disclosure · report date 2018-08-09 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 102,589
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy Limited Partner of the Family Partnership	95,968	Reported balance Holding disclosure · report date 2018-08-09 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 95,968
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy self as Trustee of Gagnon Securities LLC Profit Sharing Plan	20,600	Reported balance Holding disclosure · report date 2018-08-09 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 20,600

Filing footnotes · ownership attribution and instrument terms

F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Past disclosures · reporting ended (6)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Ameresco, Inc.

Report date December 09, 2016 · Filed December 13, 2016

Section 16 reporting ended · disclosed 2016-12-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Gagnon Investment Associates	1,018,460	Reported balance After 2016-12-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2016-12-09 · Sale · Disposed 37,519 · Balance 1,018,460
Common StockSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Darwin Partnership	91,325	Reported balance After 2016-12-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2016-12-09 · Sale · Disposed 1,781 · Balance 91,325
Common StockSEC Table I · non-derivative	Direct	557,368	Reported balance Holding disclosure · report date 2016-12-09 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 557,368
Common StockSEC Table I · non-derivative	IndirectBy Limited Partner of The Family Partnership	121,405	Reported balance Holding disclosure · report date 2016-12-09 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 121,405
Common StockSEC Table I · non-derivative	IndirectBy self as Trustee of Gagnon Securities LLC Profit Sharing Plan	15,941	Reported balance Holding disclosure · report date 2016-12-09 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 15,941

Apollo Endosurgery, Inc.

Report date October 15, 2021 · Filed October 18, 2021

Section 16 reporting ended · disclosed 2021-10-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	Direct	413,962	Reported balance Holding disclosure · report date 2021-10-15 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 413,962
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy Limited Partner of the Family Partnership	85,015	Reported balance Holding disclosure · report date 2021-10-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 85,015
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Gagnon Investment Associates	1,329,354	Reported balance Holding disclosure · report date 2021-10-15 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 1,329,354 F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Darwin Partnership	116,360	Reported balance Holding disclosure · report date 2021-10-15 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 116,360 F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectBy self as Trustee of Gagnon Securities LLC Profit Sharing Plan	26,446	Reported balance Holding disclosure · report date 2021-10-15 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 26,446 F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Filing footnotes · ownership attribution and instrument terms

CareDx, Inc.

Report date October 31, 2018 · Filed November 02, 2018

Section 16 reporting ended · disclosed 2018-11-02. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Darwin Partnership	107,940	Reported balance After 2018-10-31 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2018-10-31 · Sale · Disposed 10,449 · Balance 107,940
Common StockSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Gagnon Investment Associates	867,744	Reported balance After 2018-10-31 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2018-10-31 · Sale · Disposed 98,150 · Balance 867,744
Common StockSEC Table I · non-derivative	IndirectBy Limited Partner of the Family Partnership	203,484	Reported balance Holding disclosure · report date 2018-10-31 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 203,484
Common StockSEC Table I · non-derivative	Direct	828,768	Reported balance Holding disclosure · report date 2018-10-31 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 828,768
Common StockSEC Table I · non-derivative	IndirectBy self as Trustee of Gagnon Securities LLC Profit Sharing Plan	40,529	Reported balance Holding disclosure · report date 2018-10-31 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 40,529

General Finance CORP

Report date April 19, 2021 · Filed April 21, 2021

Section 16 reporting ended · disclosed 2021-04-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Darwin Partnership	37,020	Reported balance After 2021-04-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-04-19 · Sale · Disposed 67,003 · Balance 37,020
Common StockSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Gagnon Investment Associates	317,109	Reported balance After 2021-04-19 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2021-04-19 · Sale · Disposed 573,915 · Balance 317,109
Common StockSEC Table I · non-derivative	Direct	531,535	Reported balance Holding disclosure · report date 2021-04-19 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 531,535
Common StockSEC Table I · non-derivative	IndirectBy Limited Partner of the Gagnon Family Partnership	135,705	Reported balance Holding disclosure · report date 2021-04-19 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 135,705
Common StockSEC Table I · non-derivative	IndirectBy self as Trustee of Gagnon Securities LLC Profit Sharing Plan	20,003	Reported balance Holding disclosure · report date 2021-04-19 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 20,003

POWER SOLUTIONS INTERNATIONAL, INC.

Report date October 03, 2024 · Filed October 07, 2024

Section 16 reporting ended · disclosed 2024-10-07. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Gagnon Investment Associates	757,744	Reported balance Holding disclosure · report date 2024-10-03 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 757,744 F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy self as Trustee of Gagnon Securities LLC Profit Sharing Plan	23,437	Reported balance Holding disclosure · report date 2024-10-03 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 23,437 F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy Limited Partner of the Family Partnership	121,024	Reported balance Holding disclosure · report date 2024-10-03 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 121,024
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy Managing Member as General Partner of Darwin Partnership	70,180	Reported balance Holding disclosure · report date 2024-10-03 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 70,180 F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provides investment management services to investment vehicles and managed accounts (collectively, the "Accounts") and, as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.

SecureWorks Corp

Report date November 19, 2024 · Filed November 21, 2024

Section 16 reporting ended · disclosed 2024-11-21. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
November 21, 2022 Filed Nov 22, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	5,000	$3.00	$15,000.00	Disclosure SEC source: 0001019056-22-000660 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,429 Read SEC document
November 18, 2022 Filed Nov 21, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	90	$2.75	$247.50	Disclosure SEC source: 0001019056-22-000658 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 454,429 Read SEC document
November 17, 2022 Filed Nov 21, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	5,000	$2.75	$13,750.00	Disclosure SEC source: 0001019056-22-000658 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 454,339 Read SEC document
November 16, 2022 Filed Nov 17, 2022 17:06 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	322	$2.75	$885.50	Disclosure SEC source: 0001019056-22-000656 · gagnon.xml · nonDerivative · entry 3 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 449,339 Read SEC document
November 15, 2022 Filed Nov 17, 2022 17:06 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	18,030	$2.66	$47,968.82	Disclosure SEC source: 0001019056-22-000656 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 449,017 Read SEC document
November 15, 2022 Filed Nov 17, 2022 17:06 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	4,837	$2.66	$12,868.84	Disclosure SEC source: 0001019056-22-000656 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partner of the Family Partnership Disclosed balance after: 113,880 Read SEC document
September 26, 2022 Filed Sep 27, 2022 16:07 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	2,065	$1.70	$3,510.50	Disclosure SEC source: 0001019056-22-000595 · gagnon.xml · nonDerivative · entry 3 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,987 Read SEC document
September 26, 2022 Filed Sep 27, 2022 16:07 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	994	$1.70	$1,689.80	Disclosure SEC source: 0001019056-22-000595 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Disclosed balance after: 21,994 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
September 26, 2022 Filed Sep 27, 2022 16:07 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	3,408	$1.70	$5,793.60	Disclosure SEC source: 0001019056-22-000595 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 659,680 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
September 23, 2022 Filed Sep 26, 2022 17:17 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	450	$1.65	$742.50	Disclosure SEC source: 0001019056-22-000593 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 656,272 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
September 20, 2022 Filed Sep 21, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	9,850	$1.80	$17,730.00	Disclosure SEC source: 0001019056-22-000591 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 655,822 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
September 14, 2022 Filed Sep 15, 2022 16:28 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	1,111	$1.80	$1,999.80	Disclosure SEC source: 0001019056-22-000589 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 645,972 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
September 02, 2022 Filed Sep 6, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	100	$2.00	$200.00	Disclosure SEC source: 0001019056-22-000585 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 644,861 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
August 29, 2022 Filed Aug 30, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	722	$1.86	$1,342.92	Disclosure SEC source: 0001019056-22-000579 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 644,761 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
August 25, 2022 Filed Aug 29, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	72	$1.65	$118.80	Disclosure SEC source: 0001019056-22-000577 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 644,039 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
August 23, 2022 Filed Aug 24, 2022 16:26 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	524	$1.65	$864.60	Disclosure SEC source: 0001019056-22-000575 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 643,967 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
August 22, 2022 Filed Aug 24, 2022 16:26 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	800	$1.65	$1,320.00	Disclosure SEC source: 0001019056-22-000575 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 643,443 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:05 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	16,059	$1.72	$27,621.48	Disclosure SEC source: 0001019056-22-000566 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 642,643 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
July 05, 2022 Filed Jul 6, 2022 16:05 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	10,711	$11.04	$118,239.80	Disclosure SEC source: 0001019056-22-000497 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,331 Read SEC document
July 01, 2022 Filed Jul 6, 2022 16:05 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	15,000	$11.00	$164,982.00	Disclosure SEC source: 0001019056-22-000497 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,620 Read SEC document
June 30, 2022 Filed Jul 1, 2022 19:37 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	4,241	$10.89	$46,200.61	Disclosure SEC source: 0001019056-22-000491 · gagnon.xml · nonDerivative · entry 4 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 369,620 Read SEC document
June 30, 2022 Filed Jul 1, 2022 19:37 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	3,329	$10.89	$36,265.46	Disclosure SEC source: 0001019056-22-000491 · gagnon.xml · nonDerivative · entry 3 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partner of the Family Partnership Disclosed balance after: 101,420 Read SEC document
June 29, 2022 Filed Jul 1, 2022 19:37 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	6,185	$10.87	$67,229.09	Disclosure SEC source: 0001019056-22-000491 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,379 Read SEC document
June 29, 2022 Filed Jul 1, 2022 19:37 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	3,815	$10.87	$41,467.91	Disclosure SEC source: 0001019056-22-000491 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partner of the Family Partnership Disclosed balance after: 98,091 Read SEC document
June 28, 2022 Filed Jun 29, 2022 16:10 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	25,000	$11.07	$276,822.50	Disclosure SEC source: 0001019056-22-000480 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 359,194 Read SEC document
June 27, 2022 Filed Jun 29, 2022 16:10 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	18,274	$11.32	$206,784.93	Disclosure SEC source: 0001019056-22-000480 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partner of the Family Partnership Disclosed balance after: 94,276 Read SEC document
June 21, 2022 Filed Jun 23, 2022 16:05 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	21,548	$10.63	$228,960.43	Disclosure SEC source: 0001019056-22-000466 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 590,730 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
June 21, 2022 Filed Jun 23, 2022 16:05 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	990	$10.63	$10,519.34	Disclosure SEC source: 0001019056-22-000466 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Darwin Partnership Disclosed balance after: 41,942 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
June 17, 2022 Filed Jun 21, 2022 16:42 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	3,168	$10.09	$31,976.21	Disclosure SEC source: 0001019056-22-000462 · gagnon.xml · nonDerivative · entry 4 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Darwin Partnership Disclosed balance after: 40,952 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
June 17, 2022 Filed Jun 21, 2022 16:42 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	68,956	$10.09	$696,007.39	Disclosure SEC source: 0001019056-22-000462 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 569,182 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
June 16, 2022 Filed Jun 21, 2022 16:42 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	1,453	$9.43	$13,708.47	Disclosure SEC source: 0001019056-22-000462 · gagnon.xml · nonDerivative · entry 3 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Darwin Partnership Disclosed balance after: 37,784 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
June 16, 2022 Filed Jun 21, 2022 16:42 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	31,627	$9.43	$298,388.09	Disclosure SEC source: 0001019056-22-000462 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 500,226 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
February 01, 2022 Filed Feb 8, 2022 16:06 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	2,922	$2.75	$8,035.50	Disclosure SEC source: 0001019056-22-000154 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Disclosed balance after: 21,000 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
January 31, 2022 Filed Feb 2, 2022 17:04 UTC	POWER SOLUTIONS INTERNATIONAL, INC. PSIX · Entity 5108	PurchaseCommon Stock, par value $0.001 per share	408	$2.50	$1,020.00	Disclosure SEC source: 0001019056-22-000119 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Disclosed balance after: 18,078 F2 · balance_after: The Form 3 filed on February 1, 2022 erroneously attributed interest in 2,818 shares to Mr. Gagnon's direct ownership instead of to Mr. Gagnon as Trustee of Gagnon Securities LLC Profit Sharing Plan. The amounts reported under Column 5 of this Form 4 have been corrected. F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
January 25, 2022 Filed Jan 27, 2022 16:05 UTC	SecureWorks Corp SCWX · Entity 11323	PurchaseCommon Stock, $0.01 par value per share	1,205	$14.19	$17,097.87	Disclosure SEC source: 0001019056-22-000092 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Disclosed balance after: 14,544 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
June 30, 2021 Filed Jul 8, 2021 12:18 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	OtherCommon Stock, $0.001 par value per share	1,001	$0.00	$0.00	Disclosure SEC source: 0001019056-21-000411 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partner of the Family Partnership Disclosed balance after: 85,015 F2 · kind: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. F2 · price: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. Read SEC document
June 30, 2021 Filed Jul 8, 2021 12:18 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	OtherCommon Stock, $0.001 par value per share	3,337	$0.00	$0.00	Disclosure SEC source: 0001019056-21-000411 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,962 F2 · kind: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. F2 · price: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. Read SEC document
June 11, 2021 Filed Jun 15, 2021 16:57 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	OtherPre-funded warrants · Derivative	128,585	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001019056-21-000366 · gagnon.xml · derivative · entry 6 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · As Managing Member of General Partner of Gagnon Investment Associates Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value per share · 128,585 shares Expires not disclosed F2 · derivative.exercise_date: These warrants were currently exercisable and did not have an expiration date. F2 · derivative.expiration_date: These warrants were currently exercisable and did not have an expiration date. F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
June 11, 2021 Filed Jun 15, 2021 16:57 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	OtherCommon Stock, $0.001 par value per share	128,585	$0.00	$128.59	Disclosure SEC source: 0001019056-21-000366 · gagnon.xml · nonDerivative · entry 3 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 1,329,354 F1 · ownership.nature: Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any. Read SEC document
May 21, 2021 Filed Jun 15, 2021 16:57 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	OtherCommon Stock, $0.001 par value per share	1,609	$0.00	$0.00	Disclosure SEC source: 0001019056-21-000366 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partner of the Family Partnership Disclosed balance after: 84,014 F3 · kind: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. F3 · price: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. Read SEC document
May 21, 2021 Filed Jun 15, 2021 16:57 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	OtherCommon Stock, $0.001 par value per share	8,045	$0.00	$0.00	Disclosure SEC source: 0001019056-21-000366 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 410,625 F3 · kind: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. F3 · price: The shares of common stock were received as an in-kind quarterly interest payment with respect to the 6.0% Convertible Debentures due 2024 (the "Debentures") held by the Darwin Partnership. The Debentures will mature on August 12, 2024 unless earlier converted or repurchased in accordance with their terms. The Debentures are convertible, at the option of the holders, into shares of common stock at an initial conversion price of $3.25 per share, subject to adjustment. If the VWAP of the Issuer's common stock has been at least $9.75 (subject to adjustment) for at least 20 trading days during any 30 consecutive trading day period, the Issuer may force the conversion of all or any part of the outstanding principal amount of the Debentures, accrued and unpaid interest and any other amounts then owing, subject to certain conditions. Read SEC document
April 19, 2021 Filed Apr 21, 2021 16:05 UTC	General Finance CORP GFN · Entity 138946	SaleCommon Stock	573,915	$18.98	$10,894,054.53	Disclosure SEC source: 0001019056-21-000270 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates Disclosed balance after: 317,109 Read SEC document
April 19, 2021 Filed Apr 21, 2021 16:05 UTC	General Finance CORP GFN · Entity 138946	SaleCommon Stock	67,003	$18.98	$1,271,850.95	Disclosure SEC source: 0001019056-21-000270 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Darwin Partnership Disclosed balance after: 37,020 Read SEC document
April 05, 2021 Filed Apr 13, 2021 16:05 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	PurchaseCommon Stock, $0.001 par value per share	303	$5.48	$1,661.47	Disclosure SEC source: 0001019056-21-000245 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,580 Read SEC document
February 23, 2021 Filed Feb 24, 2021 16:06 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	PurchaseCommon Stock, $0.001 par value per share	4,166	$4.62	$19,230.26	Disclosure SEC source: 0001019056-21-000160 · gagnon.xml · nonDerivative · entry 3 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Disclosed balance after: 26,446 Read SEC document
February 23, 2021 Filed Feb 24, 2021 16:06 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	PurchaseCommon Stock, $0.001 par value per share	8,055	$4.62	$37,181.88	Disclosure SEC source: 0001019056-21-000160 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,277 Read SEC document
February 22, 2021 Filed Feb 24, 2021 16:06 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	PurchaseCommon Stock, $0.001 par value per share	10,103	$4.80	$48,523.70	Disclosure SEC source: 0001019056-21-000160 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 394,222 Read SEC document
February 18, 2021 Filed Feb 22, 2021 16:06 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	PurchaseCommon Stock, $0.001 par value per share	1,649	$4.75	$7,830.11	Disclosure SEC source: 0001019056-21-000153 · gagnon.xml · nonDerivative · entry 2 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,119 Read SEC document
February 18, 2021 Filed Feb 22, 2021 16:06 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	PurchaseCommon Stock, $0.001 par value per share	378	$4.75	$1,794.90	Disclosure SEC source: 0001019056-21-000153 · gagnon.xml · nonDerivative · entry 1 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By self as Trustee of Gagnon Securities LLC Profit Sharing Plan Disclosed balance after: 22,280 Read SEC document
February 05, 2021 Filed Feb 8, 2021 17:13 UTC	Apollo Endosurgery, Inc. APEN · Entity 114713	PurchaseCommon Stock, $0.001 par value per share	15,488	$5.14	$79,630.00	Disclosure SEC source: 0001019056-21-000071 · gagnon.xml · nonDerivative · entry 3 Gagnon Neil · CIK 0001070170 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managing Member as General Partner of Darwin Partnership Disclosed balance after: 116,360 Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.