Filing Details

Accession Number:
0001104659-20-094649
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-08-13 16:01:42
Reporting Period:
2020-08-11
Accepted Time:
2020-08-13 16:01:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1253176 Vapotherm Inc VAPO () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
926688 W Thomas Smith 2200 Butts Road
Suite 320
Boca Raton FL 33431
No No Yes Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-08-11 50,000 $29.43 350,000 No 4 P Indirect By Ridgeview Smith Investments LLC
Common Stock Acquisiton 2020-08-12 50,000 $29.57 400,000 No 4 P Indirect By Ridgeview Smith Investments LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Ridgeview Smith Investments LLC
No 4 P Indirect By Ridgeview Smith Investments LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 131,500 Indirect By Thomas W. Smith Family Accounts
Common Stock 86,283 Indirect By Prescott Investors Profit Sharing Trust
Footnotes
  1. These shares are owned directly by Ridgeview Smith Investments LLC ("Ridgeview"), a limited liability company established by Mr. Smith for the benefit of his family and are beneficially owned indirectly by Mr. Smith as trustee of a revocable trust he established for the benefit of his family and which is the sole member of Ridgeview. Mr. Smith disclaims beneficial ownership of these shares in excess of his pecuniary interest under Rule 16a-1(a)(2)(iii). The address of Ridgeview is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.
  2. These shares are owned directly by investment accounts established for the benefit of certain family members of Thomas W. Smith. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or any other purpose and Mr. Smith disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
  3. These shares are owned directly by the Prescott Investors Profit Sharing Trust (the "Trust"), an employee profit-sharing plan for which Mr. Smith serves as a trustee. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or any other purpose and Mr. Smith disclaims beneficial ownership of these shares under Rule 16a-8(b)(1). The address of the Trust is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.