Filing Details
- Accession Number:
- 0001235802-21-000118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-09-13 16:25:13
- Reporting Period:
- 2021-09-10
- Accepted Time:
- 2021-09-13 16:25:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1681006 | F. Joel Dube | 100 Domain Drive Exeter NH 03833 | Chief Accounting Officer | No | Yes | No | 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 | Acquisiton | 2021-09-10 | 416 | $12.16 | 4,516 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-09-10 | 580 | $12.28 | 5,096 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-09-10 | 996 | $29.10 | 4,100 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2021-09-10 | 416 | $0.00 | 416 | $12.16 |
| Common Stock | Stock Option (right to buy) | Disposition | 2021-09-10 | 580 | $0.00 | 580 | $12.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,584 | 2030-01-01 | No | 4 | M | Direct | |
| 6,420 | 2030-01-20 | No | 4 | M | Direct |
Footnotes
- Includes 4,100 shares that will be issued over time upon vesting pursuant to restricted stock units granted under the Vapotherm, Inc. 2018 Equity Incentive Plan.
- This option is eligible to vest as to 25% of the underlying shares on January 1, 2021, and thereafter, as to the remaining 75% of underlying shares, in 36 monthly installments, provided that the Reporting Person continues to serve as an employee or other service provider to the Issuer on each vesting date and otherwise subject to the Company's applicable equity incentive plan.
- This option is eligible to vest as to 25% of the underlying shares on December 2, 2020, and thereafter, as to the remaining 75% of underlying shares, in 36 monthly installments, provided that the Reporting Person continues to serve as an employee or other service provider to the Issuer on each vesting date and otherwise subject to the Company's applicable equity incentive plan.
Billionaire Hedge Funds
