4//SEC Filing
3x5 Partners, LLC 4
Accession 0000899243-20-026947
CIK 0001253176other
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 6:36 PM ET
Size
12.8 KB
Accession
0000899243-20-026947
Insider Transaction Report
Form 4
VAPOTHERM INCVAPO
3x5 Partners, LLC
10% Owner
Transactions
- Sale
Common Stock
2020-10-01$29.00/sh−20,689$599,981→ 1,793,393 total(indirect: By LLC) - Exercise of In-Money
Common Stock
2020-10-01$14.00/sh+42,857$599,998→ 1,814,082 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
- 839,966(indirect: By 3x5 Special Opportunity Fund, L.P.)
Common Stock
- 30,000
Common Stock
- 2,625(indirect: By Arnerich 3x5 Special Opportunity Managers, L.P.)
Common Stock
Footnotes (5)
- [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 the managing member of Vapotherm Investors, LLC, the direct beneficial owner of these 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 its 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]The Reporting Person is a member of 3x5 Special Opportunity Partners, LLC. 3x5 Special Opportunity Partners, LLC is the general partner of 3x5 Special Opportunity Fund, L.P., the direct beneficial owner of these 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 its pecuniary interest therein.
- [F5]The Reporting Person is the general manager of Arnerich 3x5 Special Opportunity Managers, L.P. 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 its pecuniary interest therein.
Documents
Issuer
VAPOTHERM INC
CIK 0001253176
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001762924
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 6:36 PM ET
- Size
- 12.8 KB