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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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5/8/23 Citigroup Inc. SC 13G/A 2:120K Apollo Endosurgery, Inc. Broadridge Fin’l So… Inc
Citigroup Financial Products Inc.³
Citigroup Global Markets Holdings Inc.³
Citigroup Global Markets Inc.³
4/14/23 Apollo Endosurgery, Inc. 15-12G 4/14/23 1:12K Shearman & Sterling LLP
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/7/23‡ Apollo Endosurgery, Inc. EFFECT 4/7/23 1:2K SEC #5
4/5/23‡ CPMG Inc. SC 13D/A 1:90K Apollo Endosurgery, Inc. Broadridge Fin’l So… Inc
Antal Rohit Desai³
R. Kent McGaughy, Jr.³
4/4/23 McGaughy R Kent Jr. 4 Dir.,%Own.² 1:14K Apollo Endosurgery, Inc. Broadridge Fin’l So… Inc
4/4/23 CPMG Inc. 4 %Own.,Oth.² 1:13K Apollo Endosurgery, Inc. Broadridge Fin’l So… Inc
Desai Antal Rohit
4/4/23 Barr John R 4 Director² 1:12K Apollo Endosurgery, Inc. Apollo Endosurgery, Inc.
4/4/23 Bankes Jeannette 4 Director² 1:9K Apollo Endosurgery, Inc. Apollo Endosurgery, Inc.
4/4/23 O’Keefe Sharon 4 Director² 1:6K Apollo Endosurgery, Inc. Apollo Endosurgery, Inc.
4/4/23 McKhann Chas 4 Dir.,Off.² 1:10K Apollo Endosurgery, Inc. Apollo Endosurgery, Inc.
4/4/23 McClellan William D. Jr. 4 Director² 1:17K Apollo Endosurgery, Inc. Apollo Endosurgery, Inc.
4/4/23 Molesphini John J 4 Officer² 1:13K Apollo Endosurgery, Inc. Apollo Endosurgery, Inc.
| ____________ | | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | | ¹ | Filing/Form Types: -K | | 4 | Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }. | | 15-12G | Certification of a Termination of Registration of a Class of Securities — Form 15. | | EFFECT | SEC Notice of Effectiveness. | | SC 13D | Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D. | | SC 13G | Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. | | ² | Insider: The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer. | | ³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |
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