| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | APEN | Common Stock | Disposed to Issuer | -675K | -100% | 0 | Apr 4, 2023 | By Curlew Fund, LP | F1, F2, F3 | ||
| transaction | APEN | Common Stock | Disposed to Issuer | -1.31M | -100% | 0 | Apr 4, 2023 | By Killdeer Fund, LP | F1, F2, F3 | ||
| transaction | APEN | Common Stock | Disposed to Issuer | -3.69M | -100% | 0 | Apr 4, 2023 | By Roadrunner Fund, LP | F1, F2, F3 | ||
| transaction | APEN | Common Stock | Disposed to Issuer | -45.6K | -100% | 0 | Apr 4, 2023 | By Crested Crane, LP | F1, F2, F3 | ||
| transaction | APEN | Common Stock | Disposed to Issuer | -63.7K | -100% | 0 | Apr 4, 2023 | By Kestrel Fund, LP | F1, F2, F3 | ||
| transaction | APEN | Common Stock | Disposed to Issuer | -401K | -100% | 0 | Apr 4, 2023 | By Mallard Fund, LP | F1, F2, F3 |
CPMG Inc is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). In such capacity, CPMG, Inc. may be deemed to have voting and investment power over the securities held directly by each of the Funds. Kent McGaughy, Jr. and Antal Desai, each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Kent McGaughy, Jr. reports his beneficial ownership of these shares on a separate Form 4. |
| F2 | Each of CPMG, Inc. and Mr. Desai (collectively, the "Reporting Persons") disclaims beneficial ownership of the securities reported herein except to the extent of its and his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| F3 | Reflects the disposition of the Reporting Persons' indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. |
Mr. McGaughy, Jr. serves on the Issuer's Board of Directors (the "Board") as a representative of CPMG, Inc. By virtue of his representation on the Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the Reporting Persons may be deemed to be directors of the Issuer by deputization of Mr. McGaughy, Jr.