4//SEC Filing
Walrod Nicholas T. 4
Accession 0000899243-20-026848
CIK 0001253176other
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 4:13 PM ET
Size
11.3 KB
Accession
0000899243-20-026848
Insider Transaction Report
Form 4
VAPOTHERM INCVAPO
Walrod Nicholas T.
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-10-01$14.00/sh+42,857$599,998→ 2,686,673 total(indirect: By LLC) - Sale
Common Stock
2020-10-01$29.00/sh−20,689$599,981→ 2,665,984 total(indirect: By LLC) - Exercise of In-Money
Warrant to Purchase Common Stock
2020-10-01−42,857→ 0 total(indirect: By LLC)Exercise: $14.00From: 2012-09-07Exp: 2022-09-07→ Common Stock (42,857 underlying)
Holdings
- 503(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]Warrants to purchase Series A Convertible Preferred Stock converted automatically into Warrants to purchase Common Stock upon the consummation of the Issuer's initial public offering.
- [F2]The Reporting Person is a managing member of 3x5 Partners, LLC. 3x5 Partners, LLC is the managing member of Vapotherm Investors, LLC and a member of 3x5 Special Opportunity Partners, LLC, which is the general partner of 3x5 Special Opportunity Fund, L.P., and by virtue of these relationships 3x5 Partners, LLC may be deemed to indirectly beneficially own the shares directly held by Vapotherm Investors, LLC and 3x5 Special Opportunity Fund, L.P. As a managing member of 3x5 Partners, LLC the Reporting Person shares voting and dispositive power over such securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, of such securities except to the extent of his pecuniary interest therein.
- [F3]On October 1, 2020, Vapotherm Investors, LLC exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 20,689 of the warrant shares to pay the exercise price and issuing to Vapotherm Investors, LLC the remaining 22,168 shares.
- [F4]Consists of (i) 30,000 shares directly held by 3x5 Partners, LLC, (ii) 2,625 shares held by Arnerich 3x5 Special Opportunity Managers, L.P., of which 3x5 Partners, LLC is the general manager, (iii) 1,793,393 shares directly held by Vapotherm Investors, LLC and (iv) 839,966 shares directly held by 3x5 Special Opportunity Fund, L.P.
Documents
Issuer
VAPOTHERM INC
CIK 0001253176
Entity typeother
Related Parties
1- filerCIK 0001752890
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 4:13 PM ET
- Size
- 11.3 KB