4//SEC Filing
Arnerich Anthony L. 4
Accession 0001235802-23-000102
CIK 0001253176other
Filed
Aug 30, 8:00 PM ET
Accepted
Aug 31, 4:47 PM ET
Size
11.4 KB
Accession
0001235802-23-000102
Insider Transaction Report
Form 4
VAPOTHERM INCVAPO
Arnerich Anthony L.
Director
Transactions
- Purchase
Common Stock
2023-08-30$2.90/sh+5,000$14,500→ 59,076 total - Purchase
Common Stock
2023-08-31$3.10/sh+12,750$39,533→ 71,826 total - Purchase
Common Stock
2023-08-31$3.17/sh+20,000$63,304→ 243,374 total(indirect: By Trust)
Holdings
- 48,898(indirect: By Trust)
Common Stock
- 1,193,621(indirect: By LLC)
Common Stock
Footnotes (5)
- [F1]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.8479 to $3.15, inclusive. The reporting person undertakes to provide to Vapotherm, Inc., any security holder of Vapotherm, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.
- [F2]Includes 22,750 shares held by the Reporting Person's IRA and 26,250 shares that will be issued over time upon the vesting and settlement of restricted stock unit awards.
- [F3]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.9991 to $3.25, inclusive. The reporting person undertakes to provide to Vapotherm, Inc., any security holder of Vapotherm, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3) to this Form 4.
- [F4]Consists of (i) 7,885 shares held by Arnerich 3x5 Special Opportunity Managers, L.P., of which 3x5 Partners, LLC is the general manager, (ii) 790,754 shares directly held by Vapotherm Investors, LLC, and (iii) 394,982 shares directly held by 3x5 Special Opportunity Fund, L.P.
- [F5]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.
Documents
Issuer
VAPOTHERM INC
CIK 0001253176
Entity typeother
Related Parties
1- filerCIK 0001752635
Filing Metadata
- Form type
- 4
- Filed
- Aug 30, 8:00 PM ET
- Accepted
- Aug 31, 4:47 PM ET
- Size
- 11.4 KB