Form D · Biotechnology
Apollo Endosurgery, Inc.
Austin, TX · CIK 0001251769
Offering snapshot reported Jul 30, 2020 · SEC filing
- Reported sold
- $25M Offering amount: $25M
- Investors reported
- 18 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 21, 2020 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 30, 2020 | Initial | $24,982,480 | No comparison | 18 | SEC filing |
| Aug 27, 2019 | Initial | $20,000,000 | No comparison | 18 | SEC filing |
| Oct 7, 2014 | Initial | $12,527,521 | No comparison | 3 | SEC filing |
| Dec 1, 2010 | Initial | $4,884,700 | No comparison | 52 | SEC filing |
| Oct 3, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Feb 8, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.58M
- Finders' fees
- $0
- Form D file number
- 021-372158
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Craig-Hallum Capital Group LLC | 121395 |
Source: Form D, filed Jul 30, 2020. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Rick Anderson | Director |
| Gary J G Atkinson | Executive |
| John Barr | Director |
| Stefanie Cavanaugh | Executive |
| Matthew S. Crawford | Director |
| Jeffrey A. Ferrell | Director |
| Christopher J. Gostout | Executive |
| Daniel L. Kisner | Director |
| Charles A. Mathews | Director |
| William D. Mc Clellan | Director |
| R. Kent Mc Gaughy, Jr. | Director |
| John Molesphini | Executive |
| Todd Newton | Director, Executive |
| David C. Pacitti | Director |
| Scott R. Pancoast | Director, Executive |
| Daniel H. Petree | Director |
| Bruce Robertson | Director |
| Bret Schwartzhoff | Executive |
| Julie Shimer | Director |
| Donald R. Swortwood | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
1120 South Capital Of Tx Hwy Building 1 Suite 300
Austin, TX, 78746
Austin, TX, 78746