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Apollo Endosurgery, Inc. 
 TX
  SEC # 1251769

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986  SEC Filings
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  from  7/16/03  to  5/8/23  (11 Months Ago)

  List All Filings  or
  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘SC 13G/A’ — Amendment to Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G — Filed re:  Issuer / Subject Company — Filed by:  Citigroup Inc. 
 
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notifications of all
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Filings
involving  Apollo Endosurgery, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  509 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
4/14/2315-12GRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 151
4/10/23EFFECTSEC:  SEC Notices of Effectiveness44
4/4/23POS AMRegistration:  Post-Effective Amendments of Registration Statements — Financial Reports
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34
4/4/23S-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations12
4/4/238-KUpdate:  Current Reports — Form 8-K — Press Releases
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& Conference Calls
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 — Financial Reports
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156

8-K Items: 
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11/30/22 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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32
4/4/23"Termination of a Material Definitive Agreement — Item 1.02 — ‘EX-10’
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2
4/4/23
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01 — ‘EX-2’
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5
11/1/22 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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29
12/21/21 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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4
4/4/23"Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement — Item 2.04 — ‘EX-10’
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1
9/8/16 OLD"Material Impairments — Item 2.06  OLD  — ‘EX-2’
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1
4/4/23
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.013
12/29/22 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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10
4/4/23"Material Modifications to Rights of Security Holders — Item 3.03 — ‘EX-4’
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5
7/1/20 OLD
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ‘EX-16’
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6
4/4/23
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  Governance & Management: 
Changes in Control of Registrant — Item 5.014
4/4/23"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — ‘EX-17’
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 — List of Directors & Officers
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42
4/4/23"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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13
2/17/17 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ‘EX-14’
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1
12/6/05 OLD"Change in Shell Company Status — Item 5.06  OLD 1
2/10/23 OLD"Submission of Matters to a Vote of Security Holders — Item 5.07  OLD 17
11/29/22 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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19
12/28/22 OLD
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  Events: 
Other Events — Item 8.01  OLD 40
4/4/23
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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103

3/30/2310-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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17
2/13/23 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 17
1/10/23 OLDDEFM14AProxy:  Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
12/30/22 OLDPREM14AProxy:  Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
11/1/22 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD  — Financial Reports
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46
4/25/22 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 19
2/23/22 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 12
10/13/21 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 13
5/17/21 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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23
5/5/21 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 9
8/25/20 OLD424B7Registration:  Prospectuses – Selling Security Holders – Info Previously Omitted  OLD 2
8/12/20 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 7
7/30/20 OLDDRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 4
7/21/17 OLD424B4Registration:  Prospectuses – Info Previously Omitted & New Facts or Events  OLD 2
7/19/17 OLDS-1MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-1 Registration  OLD 1
7/18/17 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD  — Financial Reports
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13
12/19/16 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 5
12/1/16 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 27
12/1/16 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 5
11/23/16 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD  — Financial Reports
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3
5/1/13 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Materials — Schedule 14A  OLD 2
10/31/12 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 2
10/19/12 OLDCERTNASTrading:  Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD 1
10/9/08 OLDREGDEXRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 3
3/20/08 OLD10KSBUpdate:  Annual and Annual-Transition Reports by Small Businesses (Optional Form) — Form 10-KSB  OLD 7
11/13/07 OLD10QSBUpdate:  Quarterly and Quarterly-Transition Reports by Small Businesses (Optional Form) — Form 10-QSB  OLD 15
6/29/07 OLDSB-2Registration:  Registration Statements by Small-Business Issuers (Optional Form) — Form SB-2  OLD 2
3/30/07 OLDNT 10-KUpdate:  Notice of a Late Filing of a Form 10-K Annual Report — Form 12b-25  OLD 1
12/6/05 OLDSC 14F1Ownership:  Statement re: a Change in the Majority of Directors — Schedule 14F-1  OLD 1
8/12/05 OLDNT 10-QUpdate:  Notices of Late Filings of Form 10-Q Quarterly Reports — Form 12b-25  OLD 3
7/17/03 OLD10SB12GRegistration:  Registration Statements by Small-Business Issuers — Form 10-SB  OLD 2

Letters: 
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5/21/10 OLDCOVERComment-Response or Cover Letter to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC1

General Exhibits: 
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4/4/23EX-3Articles of Incorporation/Organization and Bylaws29
3/30/23EX-23Consents of Experts and Counsel97
3/30/23EX-4Instruments, Including Indentures, Defining the Rights of Security Holders39
12/30/22 OLDEX-FILING FEESFiling Fees  OLD 2
11/30/22 OLDEX-10Material Contracts  OLD 119
11/30/22 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 12
2/23/22 OLDEX-5Opinions of Counsel re: Legality  OLD 52
10/14/21 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 7
11/14/16 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 4
10/11/16 OLDEX-21Subsidiaries Lists  OLD 3
4/10/07 OLDEX-17Correspondence re: Departure of a Director  OLD 1
3/16/06 OLDEX-14Code of Ethics  OLD 1

Additional Exhibits: 
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11/29/22 OLDEX-99  &  EX-99.*Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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EX-99.*  Form-Specific Exhibits...  Form N-2:  1 Other Financial Statement
108

Financials: 
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4/4/23XML  &  R#IDEA Financial Reports Info — Financial Reports
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2,349
4/4/23EXCELIDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports
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83
4/4/23EX-101.*XBRL Data  (XBRL Files)370
4/4/23JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)43
4/4/23ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)
76
3/30/23EX-31Certifications — §302 – SOA’02152
3/30/23EX-32Certifications — §906 – SOA’02109
7/1/20 OLDEX-16Letters re: Changes in Accountants  OLD 5

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1/10/23 OLDGRAPHICPhotos, Images and Graphs  OLD 437


Forms
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, Documents
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& Exhibits
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 in  483 Filings
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 Filed re:  Issuer / Subject Company


        
List all Money Managers that own this Security Issuer:  CUSIP 03767D
 

        
Latest Filing  Type    Category    Description        Documents
     
5/8/23SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G68
4/4/23SC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D30
4/4/234Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4299
4/4/2325-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 251
7/6/22 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 55
12/19/16 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 5
1/31/12 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 7
12/6/05 OLDSC 14F1Ownership:  Statement re: a Change in the Majority of Directors — Schedule 14F-1  OLD 1

Letters: 
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5/11/21 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC17
5/11/21 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 3

General Exhibits: 
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7/6/22 OLDEX-24Powers of Attorney  OLD 26
10/18/16 OLDEX-10Material Contract  OLD 1
9/8/16 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 2
9/8/16 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 3
8/18/08 OLDEX-4Instrument Defining the Rights of Security Holders  OLD 1
8/18/08 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 4

Additional Exhibits: 
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5/8/23EX-99Miscellaneous Exhibits, such as Press Releases16

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12/19/16 OLDGRAPHICPhotos, Images and Graphs  OLD 6


        

Filings History

Year    # of Filings
In descending order
2023 62
2022 59
2021 73
2020 58
2019 53
2018 41
2017 89
2016 89
2015 33
2014 46
2013 35
2012 63
2011 36
2010 46
2009 40
2008 48
2007 46
2006 33
2005 22
2004 11
2003 3

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