Filing Details

Accession Number:
0001235802-22-000066
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-05-17 16:39:01
Reporting Period:
2022-05-16
Accepted Time:
2022-05-17 16:39:01
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 100 Domain Drive
Exeter NH 03833
Yes No 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 2022-05-16 5,000 $3.42 43,898 No 4 P Indirect By Christine A. Arnerich Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Christine A. Arnerich Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 43,374 Indirect By Anthony L. Arnerich Trust
Common Stock 22,576 Direct
Common Stock 1,193,621 Indirect By 3x5 Partners, LLC
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.34 to $3.45, 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.
  2. Includes 5,000 shares held by the Reporting Person's IRA and 5,392 shares that will be issued over time subject to restricted stock units granted under the Vapotherm, Inc. 2018 Equity Incentive Plan.
  3. 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.
  4. 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.