Apollo Endosurgery (APEN) Form 3 Apollo Endosurgery / Mike Gutteridge ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Gutteridge Mike

(Last) (First) (Middle)

1120 SOUTH CAPITAL OF TEXAS HIGHWAY

BUILDING ONE, SUITE 300

(Street)

AUSTIN TX 78746

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/15/2022

3. Issuer Name and Ticker or Trading Symbol
Apollo Endosurgery, Inc. [ APEN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
VP, Int'l Sales and Marketing

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	22,838	D
Common Stock	41,199(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	(2)	05/25/2027	Common Stock	14,000	6.5	D
Stock Option (Right to Buy)	(2)	12/07/2027	Common Stock	25,500	4.37	D
Stock Option (Right to Buy)	(2)	05/07/2029	Common Stock	22,655	3.49	D
Stock Option (Right to Buy)	(2)	05/07/2030	Common Stock	22,171	2.08	D
Stock Option (Right to Buy)	(2)	03/10/2031	Common Stock	14,846	5.95	D

Explanation of Responses:

1. Represents grants of Restricted Stock Units (the "RSU Awards") payable solely in common stock of the Issuer. The shares subject to the RSU Awards shall vest over a four-year period at the rate of 25% per year.

2. 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.

Remarks:

	/s/ Brian Szymczak - Attorney-in-Fact	03/01/2022
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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