# EDGAR Filing Document

**Accession Number:** 0001251769
**File Stem:** 0001251769-23-000002
**Filing Date:** 2023-2
**Character Count:** 7337
**Document Hash:** 3b3f6ee491e9463df1563cbab08f6ed4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001251769-23-000002.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0001251769-23-000002

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230209

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230210

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Apollo Endosurgery, Inc.
- **CENTRAL INDEX KEY:** 0001251769
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **IRS NUMBER:** 161630142
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35706
- **FILM NUMBER:** 23608712

**BUSINESS ADDRESS:**
- **STREET 1:** 1120 SOUTH CAPITAL OF TX HWY
- **STREET 2:** BUILDING 1 SUITE 300
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78746
- **BUSINESS PHONE:** 512-279-5100

**MAIL ADDRESS:**
- **STREET 1:** 1120 SOUTH CAPITAL OF TX HWY
- **STREET 2:** BUILDING 1 SUITE 300
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78746

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LPATH, INC
- **DATE OF NAME CHANGE:** 20060316

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LPATH INC
- **DATE OF NAME CHANGE:** 20051202

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NEIGHBORHOOD CONNECTIONS INC
- **DATE OF NAME CHANGE:** 20040323

?xml version="1.0" ? apen-20230209

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549** 

**FORM 8-K** 

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d)**

**of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): **February 9, 2023**

**Apollo Endosurgery, Inc.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-35706** | **16-1630142** |
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

---

**1120 S. Capital of Texas Highway**<br>**Building 1, Suite #300**<br>**Austin, Texas 78746**<br>(Address of principal executive offices) (Zip Code)<br>

 **(512) 279-5100**

(Registrant's telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company&nbsp;&nbsp;&nbsp;&nbsp;

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| Common stock, $0.001 par value per share | APEN | The Nasdaq Global Market |

---

------

**Item 5.07&nbsp;&nbsp;&nbsp;&nbsp;Submission of Matters to a Vote of Security Holders.**

On February 9, 2023, Apollo Endosurgery, Inc. ("Apollo") held a special meeting of its stockholders (the "Special Meeting") to vote on the three proposals described in detail in Apollo's definitive proxy statement filed with the U.S. Securities and Exchange Commission on January 10, 2023 and mailed to Apollo stockholders on or about January 11, 2023 (the "Proxy Statement"). As disclosed in the Proxy Statement, as of the close of business on January 4, 2023, the record date for the Special Meeting, there were 47,549,165 shares of Apollo's common stock outstanding and entitled to vote at the Special Meeting. A total of 32,090,198 shares of Apollo's common stock, representing approximately 67.5% of the shares outstanding and entitled to vote and constituting a quorum, were represented in person (virtually) or by valid proxies at the Special Meeting.

The final voting results for each of the proposals submitted to a vote of stockholders at the Special Meeting are as follows:

***Proposal 1 - Adoption of the Merger Agreement*** 

The stockholders of Apollo adopted the Agreement and Plan of Merger, dated November 29, 2022 (such agreement, as it may be amended, modified or supplemented from time to time, the "Merger Agreement"), by and among Apollo, Boston Scientific Corporation ("Boston Scientific") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Boston Scientific ("Merger Sub"), pursuant to which Boston Scientific will acquire Apollo via a merger of Merger Sub with and into Apollo, with Apollo continuing as the surviving corporation and an indirect wholly owned subsidiary of Boston Scientific. The voting results are set forth in the table immediately below:

---

| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstained** |
| 31,998,374 | 85,431 | 6,393 |

---

***Proposal 2 - Non-binding Advisory Vote on Compensation of Named Executive Officers*** 

The stockholders of Apollo approved, on an advisory (non-binding) basis, the compensation of Apollo's named executive officers that is based on or otherwise relates to the Merger Agreement and the transactions contemplated by the Merger Agreement. The voting results are set forth in the table immediately below:

---

| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstained** |
| 28,894,035 | 2,657,503 | 538,660 |

---

***Proposal 3 - Adjournment of the Special Meeting, if necessary or appropriate*** 

In connection with the Special Meeting, Apollo also solicited proxies with respect to any proposal to adjourn the Special Meeting to a later date or dates, if necessary or appropriate, including to solicit additional proxies to approve the proposal to adopt the Merger Agreement if there are insufficient votes to adopt the Merger Agreement at the time of the Special Meeting. Because there were sufficient votes represented at the time of the Special Meeting to approve the proposal to adopt the Merger Agreement, the proposal to approve one or more adjournments of the Special Meeting was moot and was not presented for approval by Apollo's stockholders at the Special Meeting.

\* \* \*

------

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | | |
|:---|:---|:---|:---|
| | | **APOLLO ENDOSURGERY, INC.** | **APOLLO ENDOSURGERY, INC.** |
| Dated: | February 10, 2023 |  |  |
|  |  | By: | /s/ Jeffrey Black |
|  |  | Name: | Jeffrey Black |
|  |  | Title: | Chief Financial Officer |

---