Filing Details

Accession Number:
0000899243-20-034050
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-12-16 11:57:16
Reporting Period:
2020-12-14
Accepted Time:
2020-12-16 11:57:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1253176 Vapotherm Inc VAPO Surgical & Medical Instruments & Apparatus (3841) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1752635 L. Anthony Arnerich C/O Vapotherm Inc
100 Domain Drive
Exeter NH 03833
Yes No Yes No
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 Disposition 2020-12-14 26,600 $27.00 1,964,211 No 4 S Indirect By 3x5 Partners, LLC
Common Stock Disposition 2020-12-15 3,400 $27.03 1,960,811 No 4 S Indirect By 3x5 Partners, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By 3x5 Partners, LLC
No 4 S Indirect By 3x5 Partners, LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,984 Indirect By Anthony L. Arnerich Trust
Common Stock 9,208 Direct
Footnotes
  1. Sale of shares by 3x5 Partners, LLC.
  2. 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.
  3. Consists of (i) 5,250 shares held by Arnerich 3x5 Special Opportunity Managers, L.P., of which 3x5 Partners, LLC is the general manager, (ii) 1,350,587 shares directly held by Vapotherm Investors, LLC and (iii) 604,974 shares directly held by 3x5 Special Opportunity Fund, L.P.