Sec Form 13G Filing - HBM Healthcare Investments (Cayman) Ltd. filing for Apollo Endosurgery Inc. (APEN) - 2017-02-14

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

Rule 13d-1(d)

CUSIP No. 03767D108

13G/A

1.

Names of Reporting Persons
HBM Healthcare Investments (Cayman) Ltd.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

3.

SEC Use Only

4.

Citizenship or Place of Organization
Cayman Islands, British West Indies

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5.

Sole Voting Power
36,114 (1)

6.

Shared Voting Power
0

7.

Sole Dispositive Power
36,114(1)

8.

Shared Dispositive Power
0

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
36,114 (1)

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

11.

Percent of Class Represented by Amount in Row 9
0.3375% (2)

12.

Type of Reporting Person (See Instructions)
CO

Item 1(a).

Name of Issuer:
Apollo Endosurgery, Inc.

Item 1(b).

Address of Issuer’s Principal Executive Offices:
1120 S. Capital of Texas Highway
Building 1, Suite 300
Austin, Texas 28746

Item 2(a).

Name of Person Filing:
HBM Healthcare Investments (Cayman) Ltd.

Item 2(b).

Address of Principal Business Office or, if none, Residence:
Governors Square

Suite #4-212-2

23 Lime Tree Bay Avenue

West Bay

Grand Cayman, Cayman Islands

Item 2(c).

Citizenship:
Cayman Islands, British West Indies

Item 2(d).

Title of Class of Securities:
Common Stock

Item 2(e).

CUSIP Number:
03767D108

Item 3.

If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:

Not applicable

Item 4.

Ownership

(a)

Amount beneficially owned:   

36,114(1)

(b)

Percent of class:   

0.3375%(2)

Number of shares as to which the person has:

(i)

Sole power to vote or to direct the vote   

36,114(1)

(ii)

Shared power to vote or to direct the vote:    

0

(iii)

Sole power to dispose or to direct the disposition of:   

36,114(1)

(iv)

Shared power to dispose or to direct the disposition of:   

0

Item 5.

Ownership of 5 Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following   x.

Item 6.

Ownership of More than 5 Percent on Behalf of Another Person

Not applicable

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

Not applicable

Item 8.

Identification and Classification of Members of the Group

Not applicable

Item 9.

Notice of Dissolution of a Group

Not applicable

Item 10.

Certification

By signing  below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

February 14, 2017

HBM HEALTHCARE INVESTMENTS (CAYMAN) LTD.

By:

/s/Jean-Marc Lesieur

Jean-Marc Lesieur

Director

ATTENTION:

Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001)