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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON , D.C. 20549 FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 Delaware ( State or other jurisdiction of incorporation or organization ) For the transition period from Commission file number : 001-35706 APOLLO ENDOSURGERY , INC . ( Exact name of registrant as specified in its charter ) 1120 S. Capital of Texas Highway , Building 1 , Suite # 300 , Austin , Texas ( Address of principal executive offices ) Title of each class Common Stock , $ 0.001 par value per share to Registrant's telephone number ( 512 ) 279-5100 Non - accelerated filer > Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol ( s ) APEN Securities registered pursuant to Section 12 ( g ) of the Act : None 16-1630142 ( I.R.S. Employer Identification No. ) Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15 ( d ) of the Exchange Act . Yes No Indicate by check mark whether the registrant ( 1 ) filed all reports required to be filed by Section 13 or 15 ( d ) of the Exchange Act during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No 78746 ( Zip Code ) Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Name of Exchange on which registered The Nasdaq Global Market Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer " , " smaller reporting company " , and " emerging growth company " in Rule 12b - 2 of the Exchange Act . ( Check one ) : Large accelerated filer Accelerated filer Smaller reporting company Emerging growth company 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 . As of January 31 , 2021 , there were 25,983,847 shares of the issuer's $ 0.001 par value common stock issued and outstanding . DOCUMENTS INCORPORATED BY REFERENCE Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No The aggregate market value of the common stock held by non - affiliates of the registrant ( assuming for these purposes , but without conceding , that all executive officers and directors of the registrant are affiliates of the registrant ) was computed based on the adjusted close price of $ 1.64 as reported on the Nasdaq Global Market on June 30 , 2020 is $ 34,656,093 . Portions of the Definitive Proxy Statement for the registrant's 2021 Annual Meeting of Stockholders are incorporated by reference into Part III of this Annual Report on Form 10 - K . The Definitive Proxy Statement will be filed no later than 120 days after the close of the registrant's fiscal year ended December 31 , 2020 .