| 內部人士股份 | 27,868,334 shares |
內部人士情緒分數
「內部人士情緒分數」用於查找被公司內部人士購入的公司。
它是一個複雜的多因素量化模型的結果，該模型能夠辨識具有最高內部人士累積持有水平的公司。該評分模型結合了內部人士在過去90天內購買的淨數量、總購買股份佔流通股比例，以及內部人士擁有的總股份的指標。該分數的範圍從0到100，數值越高表示相對於同行業而言具有更高程度的內部人士持股水平，50為平均值。
更新頻率：每日
高管情緒分數
「高管情緒分數」用於查找被公司管理層購入的公司。
根據定義，公司高管是公司內部人士，但與其他內部人士（10%的股東和董事會成員）不同，公司高管每天在公司工作，而且他們使用自己的資金進行交易。（10%的股東和董事會成員通常是基金經理，管理著其他人的資金。）因此，公司高管進行的內幕交易更為重要性，應該被適當地重視和關注。
如同「內部人士情緒分數」，「高管情緒分數」也是一個複雜的多因素量化模型的計算結果，該模型能夠辨識具有最高高管累積持有水平的公司。
更新頻率：每日
關鍵內部人士指標
此表格顯示了公司在各種內部人士指標上的排名。百分位數排名顯示了這家公司在美國市場與其他公司相比的表現。排名越高表明公司所處狀況越好。
舉例來說，一般認為內部人士的買入是一個積極的指標，因此具有更多內部人士買入的公司將排名高於那些內部人士買入較少（甚至有內部人士賣出）的公司。
內部人士買入淨數（排名）
N/A
內部人士買入淨數是過去90天內買入的內部人士總數減去賣出的內部人士總數。以百分位排名顯示（範圍從0到100%）。
內部人士買入佔流通股比例（排名）
N/A
內部人士買入佔流通股比例是內部人士在過去90天內購買的股份總數減去賣出的股份總數，除以總流通股數並乘以100。
內幕交易圖表
以下圖表顯示了Apollo Endosurgery Inc內部人士交易。內部人士包括公司的高管、董事或重要投資者。一般而言，基於內幕、非公開信息進行交易是非法的。這並不意味著他們在自己的公司進行任何交易都是非法的。但是，他們必須透過Form 4向美國證券交易委員會（SEC）報告所有交易。
內部人員名單及盈利指標
這張表格顯示已知的內部人員名單，從向SEC披露的申報文件中自動生成。除了姓名、最近的職稱和董事、高管或10%擁有人的標誌外，我們還提供了最新披露的持股信息。此外，我們盡可能提供內部人的歷史交易表現。歷史交易表現是內部人士實際進行的公開市場購買交易表現的加權平均值。有關此計算方式的更多資訊，請查看YouTube網絡研討會。
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| 內部人士 | 平均收益（%） | 持股 數量 |
分拆 調整 |
|---|
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追蹤內部人士買入記錄 - 短期收益分析
在這一部分，我們分析了在 APEN / Apollo Endosurgery Inc 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況， 結果僅為理論值。 .
以下表格顯示了最近的自動交易計劃之外的公開市場購買。
經調整價格 已按拆股調整。 經調整股數 已按拆股調整。
追蹤內部人士賣出記錄 - 短期虧損分析
在這一部分，我們分析了在 APEN / Apollo Endosurgery Inc 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況， 結果僅為理論值。 .
以下表格顯示了最近的自動交易計劃之外的公開市場購買。
經調整價格 已按拆股調整。 經調整股數 已按拆股調整。
交易歷史
點擊連結圖示即可查看完整的交易記錄。作為 10b5-1 自動交易計畫的一部分進行報告的交易，將在標記為 10b-5 的欄位中顯示 X。
| 呈報 日期 |
交易 日期 |
表格 | 內部人士 | 證券代碼 | 證券種類 | 代碼 | 直接 | 行使 價格 |
單位 價格 |
股數 變化 |
價值 變化 (1K) |
剩餘 期權 |
剩餘 股份 |
|
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | -400,675 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | -63,671 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | -45,594 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | -3,687,781 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Common Stock | I | -1,310,701 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | -675,181 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | -400,675 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | -63,671 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | -45,594 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | -3,687,781 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Common Stock | I | -1,310,701 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | -675,181 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McClellan William D. Jr. by Trust | APEN | Common Stock | I | -2,000 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | -39,249 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McKhann Chas | APEN | Common Stock | D | -689,880 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Molesphini John J | APEN | Common Stock | D | -92,626 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | BARR JOHN R | APEN | Common Stock | D | -44,082 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | -35,604 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Bankes Jeannette | APEN | Common Stock | D | -17,641 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Black Jeffrey G. | APEN | Common Stock | D | -335,330 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Gutteridge Mike | APEN | Common Stock | D | -86,647 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Gostout Christopher J. | APEN | Common Stock | D | -90,267 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Pacitti David | APEN | Common Stock | D | -18,112 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Shimer Julie Ann | APEN | Common Stock | D | -36,021 | 0 | ||||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 3.2500 | 1,465,770 | 4,764 | 3,687,781 | ||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 3.2500 | 586,308 | 1,906 | 1,310,701 | ||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 3.2500 | 146,577 | 476 | 675,181 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 3.2500 | 1,465,770 | 4,764 | 3,687,781 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 3.2500 | 586,308 | 1,906 | 1,310,701 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 3.2500 | 146,577 | 476 | 675,181 | ||||
| 2022-11-04 | 2022-11-04 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.4600 | -15,060 | -97 | 332,650 | ||||
| 2022-08-05 | 2022-08-05 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.4600 | -6,190 | -40 | 347,710 | ||||
| 2022-08-05 | 2022-08-05 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | 17,028 | 17,028 | ||||||
| 2022-08-05 | 2022-08-05 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | 18,576 | 18,576 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Anderson Rick D | APEN | Common Stock | D | 14,224 | 113,484 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 14,224 | 39,249 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 14,224 | 36,021 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Bankes Jeannette | APEN | Common Stock | D | 14,224 | 17,641 | ||||||
| 2022-06-16 | 2022-05-06 | 4 | Bankes Jeannette | APEN | Common Stock | D | 3,417 | 3,417 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 88,900 | 353,900 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | BARR JOHN R | APEN | Common Stock | D | 14,224 | 44,082 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | McKhann Chas | APEN | Common Stock | D | 112,607 | 689,880 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Pacitti David | APEN | Common Stock | D | 14,224 | 18,112 | ||||||
| 2022-05-09 | 2022-05-05 | 4 | McKhann Chas | APEN | Common Stock | D | 5.4200 | -66,553 | -361 | 577,273 | ||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 21,403 | ||||||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 22,838 | ||||||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 19,796 | ||||||||
| 2022-03-10 | 2022-02-25 | 4/A | Gutteridge Mike | APEN | Stock Option (Right to Buy) | D | 5.63 | 11,611 | 11,611 | |||||
| 2022-03-10 | 2022-02-25 | 4/A | Gutteridge Mike | APEN | Common Stock | D | 22,610 | 63,809 | ||||||
| 2022-03-01 | 2022-03-01 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.2000 | 10,000 | 62 | 265,000 | ||||
| 2022-03-01 | 2022-02-28 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 5.6600 | 15,000 | 85 | 255,000 | ||||
| 2022-03-01 | 2022-02-25 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 5.4800 | 15,000 | 82 | 240,000 | ||||
| 2022-03-01 | 3 | Gutteridge Mike | APEN | Common Stock | D | 41,199 | ||||||||
| 2022-03-01 | 3 | Gutteridge Mike | APEN | Common Stock | D | 22,838 | ||||||||
| 2022-03-01 | 2022-02-25 | 4 | Gutteridge Mike | APEN | Stock Option (Right to Buy) | D | 5.63 | 11,611 | 11,611 | |||||
| 2022-03-01 | 2022-02-25 | 4 | Gutteridge Mike | APEN | Common Stock | D | 22,610 | 63,809 | ||||||
| 2022-02-28 | 2022-02-25 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 5.63 | 26,539 | 26,539 | |||||
| 2022-02-28 | 2022-02-25 | 4 | Molesphini John J | APEN | Common Stock | D | 17,227 | 92,626 | ||||||
| 2022-02-28 | 2022-02-25 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 5.63 | 6,635 | 6,635 | |||||
| 2022-02-28 | 2022-02-25 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 12,920 | 90,267 | ||||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 7.7500 | 387,097 | 3,000 | 2,151,209 | ||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 7.7500 | 258,064 | 2,000 | 696,071 | ||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 7.7500 | 38,710 | 300 | 521,522 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 7.7500 | 387,097 | 3,000 | 2,151,209 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 7.7500 | 258,064 | 2,000 | 696,071 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 7.7500 | 38,710 | 300 | 521,522 | ||||
| 2021-08-20 | 2021-08-20 | 4/A | McKhann Chas | APEN | Common Stock | D | 7.7400 | -21,148 | -164 | 643,826 | ||||
| 2021-08-20 | 2021-08-19 | 4/A | McKhann Chas | APEN | Common Stock | D | 7.8900 | -21,148 | -167 | 664,974 | ||||
| 2021-08-20 | 2021-08-18 | 4/A | McKhann Chas | APEN | Common Stock | D | 8.2100 | -21,156 | -174 | 686,122 | ||||
| 2021-08-20 | 2021-08-20 | 4 | McKhann Chas | APEN | Common Stock | D | 7.7400 | -21,148 | -164 | 643,826 | ||||
| 2021-08-20 | 2021-08-19 | 4 | McKhann Chas | APEN | Common Stock | D | 7.8900 | -21,148 | -167 | 664,974 | ||||
| 2021-08-20 | 2021-08-18 | 4 | McKhann Chas | APEN | Common Stock | D | 8.2100 | -21,156 | -174 | 686,122 | ||||
| 2021-08-11 | 2021-08-11 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 8.7500 | 25,000 | 219 | 25,000 | ||||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Stock Option (Right to Buy) | D | 8.69 | 8.6900 | 150,000 | 1,304 | 150,000 | |||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 80,000 | 225,000 | ||||||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 120,000 | 145,000 | ||||||
| 2021-07-08 | 2021-06-30 | 4 | GAGNON NEIL By Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 1,001 | 85,015 | ||||||
| 2021-07-08 | 2021-06-30 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 3,337 | 413,962 | ||||||
| 2021-07-07 | 2021-07-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 91 | 95,998 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 66,382 | |||
| 2021-06-21 | 2021-06-17 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 3,888 | 25,025 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 64,710 | |||
| 2021-06-21 | 2021-06-17 | 4 | Pacitti David | APEN | Common Stock | D | 3,888 | 3,888 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 51,124 | |||
| 2021-06-21 | 2021-06-17 | 4 | BARR JOHN R | APEN | Common Stock | D | 3,888 | 29,858 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Anderson Rick D | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 5,271 | |||
| 2021-06-21 | 2021-06-17 | 4 | Anderson Rick D | APEN | Common Stock | D | 3,888 | 53,565 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 57,965 | |||
| 2021-06-21 | 2021-06-17 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 3,888 | 21,797 | ||||||
| 2021-06-15 | 2021-06-11 | 4 | GAGNON NEIL As Managing Member of General Partner of Gagnon Investment Associates | APEN | Pre-funded warrants | I | 0.00 | -128,585 | 0 | |||||
| 2021-06-15 | 2021-06-11 | 4 | GAGNON NEIL By Managing Member as General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 0.0010 | 128,585 | 0 | 1,329,354 | ||||
| 2021-06-15 | 2021-05-21 | 4 | GAGNON NEIL By Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 1,609 | 84,014 | ||||||
| 2021-06-15 | 2021-05-21 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 8,045 | 410,625 | ||||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9600 | -790 | -5 | 0 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9300 | -600 | -4 | 790 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9200 | -3,400 | -24 | 1,390 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9100 | -5,524 | -38 | 4,790 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9000 | -3,144 | -22 | 10,314 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8900 | -464 | -3 | 13,458 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8800 | -1,100 | -8 | 13,922 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8500 | -20 | -0 | 15,022 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8100 | -500 | -3 | 15,042 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8000 | -600 | -4 | 15,542 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7300 | -600 | -4 | 16,142 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7200 | -300 | -2 | 16,742 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7100 | -100 | -1 | 17,042 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7000 | -800 | -5 | 17,142 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.6700 | -200 | -1 | 17,942 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.6400 | -600 | -4 | 18,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9600 | -790 | -5 | 0 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9300 | -600 | -4 | 790 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9200 | -3,400 | -24 | 1,390 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9100 | -5,524 | -38 | 4,790 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9000 | -3,144 | -22 | 10,314 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8900 | -464 | -3 | 13,458 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8800 | -1,100 | -8 | 13,922 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8500 | -20 | -0 | 15,022 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8100 | -500 | -3 | 15,042 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8000 | -600 | -4 | 15,542 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7300 | -600 | -4 | 16,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7200 | -300 | -2 | 16,742 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7100 | -100 | -1 | 17,042 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7000 | -800 | -5 | 17,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.6700 | -200 | -1 | 17,942 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.6400 | -600 | -4 | 18,142 | ||||
| 2021-04-13 | 2021-04-05 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 5.4834 | 303 | 2 | 402,580 | ||||
| 2021-03-12 | 2021-03-10 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 180,140 | |||
| 2021-03-12 | 2021-03-10 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 14,028 | 95,907 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9200 | 2,600 | 15 | 25,970 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9100 | 600 | 4 | 23,370 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9000 | 3,000 | 18 | 22,770 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8900 | 1,500 | 9 | 19,770 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8700 | 100 | 1 | 18,270 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8500 | 2,100 | 12 | 18,170 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8400 | 100 | 1 | 16,070 | ||||
| 2021-03-12 | 2021-03-10 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 11,876 | 71 | 241,428 | |||
| 2021-03-12 | 2021-03-10 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 10,020 | 77,347 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | McKhann Chas | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 848,733 | 5,050 | 848,733 | |||
| 2021-03-12 | 2021-03-10 | 4 | McKhann Chas | APEN | Common Stock | D | 707,278 | 707,278 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 159,049 | |||
| 2021-03-12 | 2021-03-10 | 4 | Molesphini John J | APEN | Common Stock | D | 14,028 | 75,399 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 185,809 | |||
| 2021-03-12 | 2021-03-10 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 14,028 | 102,869 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S | APEN | Common Stock | D | 2,017 | 134,394 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | -6,055 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | 6,055 | 6,055 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | -605,712 | 605,712 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S | APEN | Common Stock | D | 4,444 | 132,377 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | -13,473 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | 13,473 | 13,473 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S By PTV IV, L.P. | APEN | Common Stock | I | -1,347,565 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By Longchamp Interests LLC | APEN | Common Stock | I | 857,964 | 1,221,464 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV GP III Management, LLC | APEN | Common Stock | I | 857,964 | 1,221,464 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S | APEN | Common Stock | D | -857,964 | 127,933 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | -857,964 | 127,933 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S | APEN | Common Stock | D | 857,964 | 985,897 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV GP III Management, LLC | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | -6,055 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | 6,055 | 6,055 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | -605,712 | 605,712 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | -13,473 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | 13,473 | 13,473 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P By PTV IV, L.P. | APEN | Common Stock | I | -1,347,565 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV Sciences II, L.P. | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV GP III Management, LLC | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV GP III Management, LLC | APEN | Common Stock | I | 857,964 | 857,964 | ||||||
| 2021-02-24 | 2021-02-23 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.6160 | 4,166 | 19 | 26,446 | ||||
| 2021-02-24 | 2021-02-23 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.6160 | 8,055 | 37 | 402,277 | ||||
| 2021-02-24 | 2021-02-22 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.8029 | 10,103 | 49 | 394,222 | ||||
| 2021-02-22 | 2021-02-18 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.7484 | 1,649 | 8 | 384,119 | ||||
| 2021-02-22 | 2021-02-18 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.7484 | 378 | 2 | 22,280 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 5.1414 | 15,488 | 80 | 116,360 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.7122 | 30,954 | 146 | 382,470 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.8365 | 7,101 | 34 | 21,902 | ||||
| 2021-02-05 | 2021-02-04 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.7122 | 9,729 | 46 | 100,872 | ||||
| 2021-02-05 | 2021-02-03 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.4587 | 28,243 | 126 | 91,143 | ||||
| 2021-02-05 | 2021-02-03 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.4931 | 145 | 1 | 14,801 | ||||
| 2021-02-03 | 2021-02-02 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.4199 | 10,873 | 48 | 62,900 | ||||
| 2021-02-03 | 2021-02-01 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.2030 | 473 | 2 | 351,516 | ||||
| 2021-01-07 | 2021-01-05 | 4 | Newton Todd | APEN | Common Stock | D | 3,479 | 412,306 | ||||||
| 2021-01-07 | 2021-01-06 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 218 | 81,879 | ||||||
| 2020-12-17 | 2020-12-16 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.1632 | 8,314 | 35 | 351,043 | ||||
| 2020-12-17 | 2020-12-16 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.1632 | 2,488 | 10 | 14,656 | ||||
| 2020-12-17 | 2020-10-28 | 4 | GAGNON NEIL By Managing Member as General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 1.6500 | 9,663 | 16 | 1,200,769 | ||||
| 2020-12-17 | 2020-10-28 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 1.6500 | 693 | 1 | 52,027 | ||||
| 2020-10-13 | 3 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 342,729 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Managing Member of General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 1,191,106 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Managing Member of General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 51,334 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 82,405 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 12,168 | ||||||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 1.2500 | 1,200,000 | 1,500 | 1,707,208 | ||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 1.2500 | 400,000 | 500 | 415,244 | ||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 1.2500 | 180,000 | 225 | 477,120 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 1.2500 | 1,200,000 | 1,500 | 1,707,208 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 1.2500 | 400,000 | 500 | 415,244 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 1.2500 | 180,000 | 225 | 477,120 | ||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | -245,444 | 0 | ||||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | 245,444 | 245,444 | ||||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By PTV Sciences II, L.P. | APEN | Common Stock | I | -1,341,222 | 857,964 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S | APEN | Common Stock | D | 74,218 | 127,933 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | -245,444 | 0 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | 245,444 | 245,444 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | -1,341,222 | 857,964 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 28,156 | 59 | 52,694 | |||
| 2020-05-11 | 2020-05-07 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 10,153 | 17,909 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 27,749 | 58 | 59,439 | |||
| 2020-05-11 | 2020-05-07 | 4 | Pacitti David | APEN | Common Stock | D | 10,006 | 18,742 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 29,317 | 61 | 45,853 | |||
| 2020-05-11 | 2020-05-07 | 4 | BARR JOHN R | APEN | Common Stock | D | 10,571 | 15,970 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 28,446 | 59 | 61,111 | |||
| 2020-05-11 | 2020-05-07 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 10,257 | 21,137 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 62,718 | 130 | 163,513 | |||
| 2020-05-11 | 2020-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 42,000 | 81,661 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 115,094 | 239 | 511,604 | |||
| 2020-05-11 | 2020-05-07 | 4 | Newton Todd | APEN | Common Stock | D | 77,075 | 408,827 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 61,949 | 129 | 142,422 | |||
| 2020-05-11 | 2020-05-07 | 4 | Molesphini John J | APEN | Common Stock | D | 41,485 | 61,371 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 2.08 | 59,728 | 169,182 | |||||
| 2020-05-11 | 2020-05-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 39,997 | 88,841 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 51,610 | 107 | 229,552 | |||
| 2020-05-11 | 2020-05-07 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 34,561 | 67,327 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-03 | 4 | Newton Todd | APEN | Common Stock | D | 3,296 | 331,752 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 206 | 39,661 | ||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-20 | 2019-08-16 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 32,665 | |||
| 2019-08-20 | 2019-08-16 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 5,399 | 10,880 | ||||||
| 2019-08-20 | 2019-08-16 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 0 | 0 | 31,690 | |||
| 2019-08-20 | 2019-08-16 | 4 | Pacitti David | APEN | Common Stock | D | 3.2700 | 5,399 | 18 | 8,736 | ||||
| 2019-08-20 | 2019-08-16 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 16,536 | |||
| 2019-08-20 | 2019-08-16 | 4 | BARR JOHN R | APEN | Common Stock | D | 5,399 | 5,399 | ||||||
| 2019-08-20 | 2019-08-16 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 24,538 | |||
| 2019-08-20 | 2019-08-16 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 5,399 | 7,756 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 4,625,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 1,850,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 462,500.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | Newton Todd | APEN | 6.0% Convertible Debentures due 2024 | D | 3.25 | 400,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | Cavanaugh Stefanie L. | APEN | 6.0% Convertible Debentures due 2024 | D | 3.25 | 25,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | 6.0% Convertible Debenture due 2024 | D | 3.25 | 2,775,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | Warrant | D | 1 | 1 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | -1,000,000 | 1,580,518 | ||||||
| 2019-05-14 | 2019-05-14 | 4 | Newton Todd | APEN | Common Sock | D | 3.5418 | 3,600 | 13 | 321,268 | ||||
| 2019-05-14 | 2019-05-10 | 4 | Newton Todd | APEN | Common Sock | D | 3.5340 | 25,000 | 88 | 317,668 | ||||
| 2019-05-10 | 2019-05-07 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 48,673 | 170 | 396,510 | |||
| 2019-05-10 | 2019-05-07 | 4 | Newton Todd | APEN | Common Sock | D | 31,250 | 292,668 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 25,442 | 89 | 177,942 | |||
| 2019-05-10 | 2019-05-07 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 16,335 | 32,766 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 100,795 | |||
| 2019-05-10 | 2019-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Sock | D | 19,886 | 39,455 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 109,454 | |||
| 2019-05-10 | 2019-05-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 19,886 | 48,844 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 80,473 | |||
| 2019-05-10 | 2019-05-07 | 4 | Molesphini John J | APEN | Common Sock | D | 19,886 | 19,886 | ||||||
| 2019-02-14 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5,161,036 | ||||||||
| 2019-02-14 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5,161,036 | ||||||||
| 2018-12-31 | 2018-12-27 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.0000 | -250,000 | -750 | 2,185,426 | ||||
| 2018-12-28 | 2018-12-26 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.0000 | -500,000 | -1,500 | 2,435,426 | ||||
| 2018-11-21 | 2018-11-21 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.6050 | 3,230 | 12 | 2,935,426 | ||||
| 2018-11-21 | 2018-11-19 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.4000 | 54,200 | 184 | 2,932,196 | ||||
| 2018-11-06 | 2018-11-02 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.0000 | 300,000 | 1,500 | 2,877,996 | ||||
| 2018-08-15 | 2018-08-13 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 7.75 | 7.7500 | 8,002 | 62 | 8,002 | |||
| 2018-08-15 | 2018-08-13 | 4 | Shimer Julie Ann | APEN | Common Sock | D | 2,357 | 2,357 | ||||||
| 2018-08-15 | 2018-08-13 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 7.75 | 7.7500 | 49,500 | 384 | 49,500 | |||
| 2018-06-22 | 2018-06-20 | 4 | Newton Todd | APEN | Common Sock | D | 5.5000 | 72,727 | 400 | 268,606 | ||||
| 2018-06-22 | 2018-06-20 | 4 | Cavanaugh Stefanie L. | APEN | Common Sock | D | 5.5000 | 4,545 | 25 | 19,569 | ||||
| 2018-06-22 | 2018-06-20 | 4 | Crawford Matthew S Longchamp Interests LLC | APEN | Common Sock | I | 5.5000 | 363,500 | 1,999 | 417,215 | ||||
| 2018-03-13 | 2018-03-09 | 4 | Crawford Matthew S | APEN | Common Stock | D | 6.2000 | 4,038 | 25 | 53,715 | ||||
| 2018-03-02 | 2018-02-28 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 14,050 | 92 | 14,050 | |||
| 2018-03-02 | 2018-02-28 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 2,537 | 7,348 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 32,438 | 213 | 32,438 | |||
| 2018-03-02 | 2018-02-28 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 5,858 | 15,024 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | MEELIA RICHARD J | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 21,488 | 141 | 21,488 | |||
| 2018-03-02 | 2018-02-28 | 4 | MEELIA RICHARD J | APEN | Common Stock | D | 6,269 | 11,367 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 86,250 | 568 | 86,250 | |||
| 2018-03-02 | 2018-02-28 | 4 | Newton Todd | APEN | Common Stock | D | 28,750 | 195,879 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | McClellan William D. Jr. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 9,848 | 65 | 9,848 | |||
| 2018-03-02 | 2018-02-28 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 2,873 | 5,481 | ||||||
| 2018-01-03 | 2018-01-03 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.7826 | 6,339 | 37 | 2,577,996 | ||||
| 2018-01-03 | 2018-01-02 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.7269 | 11,343 | 65 | 2,571,657 | ||||
| 2018-01-03 | 2017-12-29 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.5621 | 5,163 | 29 | 2,560,314 | ||||
| 2017-12-28 | 2017-12-26 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.0000 | 5,287 | 26 | 2,555,151 | ||||
| 2017-12-22 | 2017-12-22 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.9968 | 41,399 | 207 | 2,549,864 | ||||
| 2017-12-22 | 2017-12-21 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.9423 | 98,324 | 486 | 2,508,465 | ||||
| 2017-12-22 | 2017-12-20 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.4969 | 45,434 | 204 | 2,410,141 | ||||
| 2017-12-13 | 2017-12-12 | 4 | Pacitti David | APEN | Stock Option (Right to Buy) | D | 3.98 | 15,154 | 15,154 | |||||
| 2017-12-13 | 2017-12-12 | 4 | Pacitti David | APEN | Common Sock | D | 3,337 | 3,337 | ||||||
| 2017-12-11 | 2017-12-07 | 4 | Schwartzhoff Bret | APEN | Incentive Stock Option (right to buy) | D | 4.37 | 39,981 | 78,481 | |||||
| 2017-12-11 | 2017-12-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 13,327 | 28,958 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S | APEN | Common Stock | D | 4,223 | 49,677 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D | APEN | Common Stock | D | 4,223 | 49,677 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-09 | 2017-11-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 4.2400 | 9,500 | 40 | 15,631 | ||||
| 2017-09-25 | 2017-09-12 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-25 | 2017-09-12 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-25 | 2017-09-12 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-19 | 2017-09-15 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 0 | |||||
| 2017-09-19 | 2017-09-15 | 4 | McWilliams Dennis L. | APEN | Common Stock | D | 1.7600 | 28,757 | 51 | 62,404 | ||||
| 2017-08-18 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4,729,414 | ||||||||
| 2017-08-18 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4,729,414 | ||||||||
| 2017-07-26 | 2017-07-25 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 5.5000 | 1,090,909 | 6,000 | 5,243,372 | ||||
| 2017-07-26 | 2017-07-26 | 4 | Novo A/S | APEN | Common Stock | D | 6.8411 | -8,426 | -58 | 1,301,842 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Novo A/S | APEN | Common Stock | D | 6.9615 | -24,504 | -171 | 1,310,268 | ||||
| 2017-07-26 | 2017-07-24 | 4 | Novo A/S | APEN | Common Stock | D | 6.8336 | -17,200 | -118 | 1,334,772 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Crawford Matthew S By PTV Evergreen Fund, LP. | APEN | Common Stock | I | 5.5000 | 1,090,909 | 6,000 | 1,090,909 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Crawford Matthew S | APEN | Common Stock | D | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Anderson Rick D By PTV Evergreen Fund, LP | APEN | Common Stock | I | 5.5000 | 1,090,909 | 6,000 | 1,090,909 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Anderson Rick D | APEN | Common Stock | D | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | MEELIA RICHARD J By The Richard J. Meelia 1997 Revocable Trust | APEN | Common Stock | I | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | 5.5000 | 273,770 | 1,506 | 469,100 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | 5.5000 | 78,965 | 434 | 400,675 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | 5.5000 | 12,548 | 69 | 63,671 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | 5.5000 | 80,276 | 442 | 293,309 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | 5.5000 | 8,986 | 49 | 45,594 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 5.5000 | 4,545 | 25 | 9,166 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Newton Todd | APEN | Common Stock | D | 5.5000 | 136,363 | 750 | 167,129 | ||||
| 2017-05-30 | 2017-05-17 | 4/A | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.3500 | 1,700 | 11 | 2,000 | ||||
| 2017-05-30 | 2017-05-16 | 4/A | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1900 | 300 | 2 | 300 | ||||
| 2017-05-30 | 2017-05-25 | 4 | Schwartzhoff Bret | APEN | Incentive Stock Option (right to buy) | D | 6.50 | 6.5000 | 15,495 | 101 | 15,495 | |||
| 2017-05-30 | 2017-05-25 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 6,131 | 6,131 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | Tribie Charles | APEN | Common Stock | D | 894 | 894 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 6.50 | 6.5000 | 9,468 | 62 | 9,468 | |||
| 2017-05-30 | 2017-05-25 | 4 | MEELIA RICHARD J | APEN | Common Stock | D | 5,098 | 5,098 | ||||||
| 2017-05-30 | 2016-12-29 | 4 | MEELIA RICHARD J by Corporation | APEN | Common Stock | I | 1.3600 | 17,501 | 24 | 17,501 | ||||
| 2017-05-30 | 2014-07-08 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 3.36 | 3.3600 | 5,751 | 19 | 5,751 | |||
| 2017-05-30 | 2012-07-30 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 2.09 | 2.0900 | 9,202 | 19 | 9,202 | |||
| 2017-05-30 | 2017-05-25 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 1,757 | 4,621 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 6.50 | 6.5000 | 4,844 | 31 | 4,844 | |||
| 2017-05-30 | 2017-05-25 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 2,608 | 2,608 | ||||||
| 2017-05-18 | 2017-05-17 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.4200 | 1,200 | 8 | 2,000 | ||||
| 2017-05-18 | 2017-05-17 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1800 | 500 | 3 | 800 | ||||
| 2017-05-18 | 2017-05-16 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1900 | 300 | 2 | 300 | ||||
| 2017-05-18 | 2017-05-18 | 4 | Newton Todd | APEN | Common Stock | D | 6.3500 | 822 | 5 | 30,766 | ||||
| 2017-05-18 | 2017-05-17 | 4 | Newton Todd | APEN | Common Stock | D | 6.1900 | 400 | 2 | 29,944 | ||||
| 2017-05-18 | 2017-05-16 | 4 | Newton Todd | APEN | Common Stock | D | 6.1200 | 899 | 6 | 29,544 | ||||
| 2017-05-11 | 2017-05-11 | 4 | Novo A/S | APEN | Common Stock | D | 5.6241 | -103,500 | -582 | 1,351,972 | ||||
| 2017-05-11 | 2017-05-10 | 4 | Novo A/S | APEN | Common Stock | D | 5.7390 | -1,500 | -9 | 1,455,472 | ||||
| 2017-02-17 | 2017-02-16 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 11.76 | 135,000 | 135,000 | |||||
| 2017-01-26 | 3 | Gostout Christopher J. | APEN | Common Stock | D | 9,622 | ||||||||
| 2017-01-26 | 3 | Gostout Christopher J. | APEN | Common Stock | D | 9,622 | ||||||||
| 2017-01-04 | 3 | Novo A/S | APEN | Common Stock | D | 2,913,944 | ||||||||
| 2017-01-04 | 3 | Novo A/S | APEN | Common Stock | D | 2,913,944 | ||||||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J | APEN | Stock Options | D | 3.36 | 5,751 | 5,751 | |||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J | APEN | Stock Options | D | 2.09 | 9,202 | 9,202 | |||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J By Meelia Ventures, LLC | APEN | Common Stock | I | 17,501 | 17,501 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Robertson Bruce C By H.I.G. Ventures - Endosurgery, LLC | APEN | Common Stock | I | 1,451,185 | 1,451,185 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV IV, L.P. | APEN | Common Stock | I | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | 195,330 | 195,330 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | 321,710 | 321,710 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | 51,123 | 51,123 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | 213,033 | 213,033 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | 36,608 | 36,608 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV Sciences II, L.P. | APEN | Common Stock | I | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV IV, L.P. | APEN | Common Stock | I | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2019-12-29 | 4 | Remeditex Ventures LLC | APEN | Common Stock | D | 1,309,392 | 1,309,392 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Creecy John W By Remeditex Ventures, LLC | APEN | Common Stock | I | 1,309,392 | 1,309,392 | ||||||
| 2016-12-30 | 2019-12-29 | 4 | H.I.G. Ventures - Endosurgery, LLC | APEN | Common Stock | D | 1,451,185 | 1,451,185 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McClellan William D. Jr. | APEN | Stock Options | D | 3.36 | 1,437 | 1,437 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Stock Options | D | 3.36 | 112,109 | 112,109 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Stock Options | D | 3.36 | 261,587 | 261,587 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Common Stock | D | 28,645 | 28,645 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Stock Options | D | 3.36 | 37,384 | 37,384 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 2,864 | 2,864 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 3.36 | 56,018 | 56,018 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 28,757 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 28,757 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 3.36 | 27,404 | 27,404 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 3.36 | 54,808 | 54,808 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 2.09 | 109,851 | 109,851 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Common Stock | D | 33,647 | 33,647 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Schwartzhoff Bret | APEN | Stock Options | D | 1.76 | 11,502 | 11,502 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Schwartzhoff Bret | APEN | Stock Options | D | 3.36 | 23,005 | 23,005 | |||||
| 2016-03-16 | 2016-03-09 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 3,485 | 19,916 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -4,646 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Petree Daniel H | LPTN | Common Stock | D | 4,646 | 11,155 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Swortwood Donald | LPTN | Common Stock | D | 3,485 | 9,200 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | -9,500 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 0.1900 | -3,325 | -1 | 32,116 | ||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 9,500 | 35,441 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Ferrell Jeffrey | LPTN | Common Stock | D | 3,485 | 12,486 | ||||||
| 2016-02-18 | 2016-02-16 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | MATHEWS CHARLES | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2015-09-10 | 2015-09-09 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -794 | 0 | ||||||
| 2015-09-10 | 2015-09-09 | 4 | Petree Daniel H | LPTN | Common Stock | D | 794 | 6,509 | ||||||
| 2015-06-18 | 2015-06-16 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-06-18 | 2015-06-16 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-06-18 | 2015-06-16 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-04-23 | 2015-04-22 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 5,715 | 16,431 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Petree Daniel H | LPTN | Common Stock | D | 5,715 | 5,715 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Swortwood Donald | LPTN | Common Stock | D | 5,715 | 5,715 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Ferrell Jeffrey | LPTN | Common Stock | D | 5,715 | 9,001 | ||||||
| 2015-02-12 | 2015-02-10 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | 16,667 | 0 | ||||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | -7,143 | 0 | ||||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 2.8700 | -2,500 | -7 | 25,941 | ||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 7,143 | 28,441 | ||||||
| 2015-02-11 | 2015-02-09 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2015-02-11 | 2015-02-09 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2015-02-11 | 2015-02-09 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.7700 | 2,955 | 8 | 13,286 | ||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.7800 | 500 | 1 | 10,331 | ||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.8000 | 6,545 | 18 | 9,831 | ||||
| 2014-11-04 | 2014-11-03 | 4 | Lack Michael | LPTN | Restricted Stock Units | D | 15,000 | 15,000 | ||||||
| 2014-10-02 | 3 | HBM Healthcare Investments (Cayman) Ltd. | LPTN | Common Stock | D | 5,561,672 | ||||||||
| 2014-10-02 | 3 | HBM Healthcare Investments (Cayman) Ltd. | LPTN | Common Stock | D | 5,561,672 | ||||||||
| 2014-08-21 | 2014-08-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 3.1000 | 5,000 | 16 | 21,298 | ||||
| 2014-08-19 | 2014-08-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.0000 | 10,000 | 30 | 116,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2500 | 2,800 | 9 | 106,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.1700 | 2,200 | 7 | 103,635 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2200 | 3,000 | 10 | 101,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2500 | 2,000 | 6 | 98,435 | ||||
| 2014-08-18 | 2014-02-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 4.6600 | -6,000 | -28 | 96,435 | ||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | -2,858 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Class A Common Stock | D | 2,858 | 10,716 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Stock Option (Right to Buy) | D | 4.45 | 135,000 | 135,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | -21,429 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 4.4500 | -7,500 | -33 | 102,435 | ||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 21,429 | 109,935 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H | LPTN | Restricted Stock Unit | D | -3,286 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H By Trust | LPTN | Class A Common Stock | I | 3,286 | 3,286 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald | LPTN | Restricted Stock Unit | D | -2,858 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald By Trust | LPTN | Class A Common Stock | I | 2,858 | 761,170 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 4.45 | 75,000 | 75,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | -5,429 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 4.4500 | -1,900 | -8 | 16,298 | ||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5,429 | 18,198 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Unit | D | -3,286 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Class A Common Stock | D | 3,286 | 3,286 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 4.45 | 45,000 | 45,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 4.45 | 45,000 | 45,000 | |||||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Employee Stock Option (right to buy) | D | 0.35 | 0.3500 | -10,715 | -4 | 0 | |||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Employee Stock Option (right to buy) | D | 0.56 | 0.5600 | -15,715 | -9 | 70,000 | |||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 0.3500 | 10,715 | 4 | 88,506 | ||||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 0.5600 | 15,715 | 9 | 77,791 | ||||
| 2013-10-11 | 2013-05-23 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | -5,000 | 62,076 | ||||||
| 2013-06-27 | 2013-06-19 | 4 | Paggiarino Dario A. | LPTN | Restricted Stock Units | D | 100,000 | 100,000 | ||||||
| 2013-06-27 | 2013-06-19 | 4 | Woodnutt Gary | LPTN | Restricted Stock Units | D | 100,000 | 100,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | KISNER DANIEL L | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Units | D | 30,000 | 30,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | 8,016 | 8,016 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | 25,000 | 25,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2012-12-20 | 2012-12-19 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 4.9800 | 5,000 | 25 | 7,858 | ||||
| 2012-12-19 | 2012-12-18 | 4 | PANCOAST SCOTT R | LPTN | Common Stock | D | 4.9500 | 5,000 | 25 | 67,076 | ||||
| 2012-11-21 | 2012-11-20 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | 0.00 | -2,858 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | MATHEWS CHARLES | LPTN | Class A Common Stock | D | 2,858 | 2,858 | ||||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | 0.00 | -58,929 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 5.9900 | -27,775 | -166 | 62,076 | ||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 58,929 | 89,851 | ||||||
| 2012-11-21 | 2012-11-19 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | 0.00 | -20,429 | 0 | |||||
| 2012-11-21 | 2012-11-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 20,429 | 30,922 | ||||||
| 2012-11-21 | 2012-01-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | -957 | 10,493 | ||||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | 0.00 | -14,286 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5.9900 | -6,875 | -41 | 12,769 | ||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 14,286 | 19,644 | ||||||
| 2012-11-21 | 2012-11-19 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | 0.00 | -5,358 | 0 | |||||
| 2012-11-21 | 2012-11-19 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5,358 | 5,358 | ||||||
| 2012-10-29 | 2012-10-25 | 4 | Swortwood Donald By Trust | LPTN | Warrant | I | 1.12 | -32,355 | 0 | |||||
| 2012-10-29 | 2012-10-25 | 4 | Swortwood Donald By Trust | LPTN | Class A Common Stock | I | 1.1200 | 32,355 | 36 | 683,957 | ||||
| 2012-08-01 | 2012-07-30 | 4 | KISNER DANIEL L | LPTN | Common Stock | D | 70,590 | 70,590 | ||||||
| 2012-03-27 | 2012-03-14 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Units | D | 0.00 | 100,000 | 100,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | 0.00 | 53,333 | 53,333 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | 0.00 | 75,000 | 75,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Sabbadini Roger Allen | LPTN | Restricted Stock Units | D | 0.00 | 50,000 | 50,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-01-31 | 2011-11-29 | 5 | PANCOAST SCOTT R | LPTN | Common Stock | D | -6,450 | 80,150 | ||||||
| 2012-01-31 | 2011-01-20 | 5 | PANCOAST SCOTT R | LPTN | Common Stock | D | -23,600 | 80,150 | ||||||
| 2008-08-15 | 2008-08-13 | 4 | LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST By LB I Group Inc. | LPTN | Warrants (right to buy Common Stock) | I | 1.25 | 921,053 | 921,053 | |||||
| 2008-08-15 | 2008-08-13 | 4 | LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST By LB I Group Inc. | LPTN | Common Stock | I | 0.9500 | 3,684,211 | 3,500 | 12,105,311 | ||||
| 2006-03-07 | 2006-03-04 | 4 | MATHEWS CHARLES | LPTN | Stock Option | D | 1.25 | 1.2500 | 50,000 | 62 | 50,000 | |||
| 2006-03-07 | 2006-03-04 | 4 | LYON JOHN R | LPTN | Stock Option | D | 1.25 | 1.2500 | 50,000 | 62 | 50,000 |
P
非衍生或衍生證券的公開市場或私下買入
S
非衍生或衍生證券的公開市場或私下賣出
A
公司向內部人員授予、獎勵或以其他方式獲取證券（例如股票期權）
C
衍生工具轉換
D
將證券賣出或轉讓回公司
F
使用從公司收到的證券的一部分來支付行使價或稅務負擔。
G
內部人士贈送或接收他人贈送公司股票
K
股權掉期和類似的避險交易
M
行使或轉換從公司獲得的衍生證券（例如期權）
V
內部人士透過Form 4自願報告的一筆交易
J
其他（附有交易描述的腳註）
