SightLine Partners LLC 3
3 · VAPOTHERM INC · Filed Nov 13, 2018
Insider Transaction Report
Form 3
VAPOTHERM INCVAPO
SightLine Partners LLC
10% Owner
Holdings
Warrant to purchase Series A Convertible Preferred Stock
→ Series A Convertible Preferred Stock (20,888 underlying)Series D Convertible Preferred Stock
→ Common Stock (345,519 underlying)Series A Convertible Preferred Stock
→ Common Stock (372,206 underlying)Series B Convertible Preferred Stock
→ Common Stock (145,252 underlying)Series C Convertible Preferred Stock
→ Common Stock (430,937 underlying)
Footnotes (5)
- [F1]Series A Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series A Convertible Preferred Stock. Consists of (i) 163,365 shares held by SightLine Healthcare Opportunity Fund II, (ii) 56,994 shares held by SightLine Healthcare Opportunity Fund II-A and (iii) 151,847 shares held by SightLine Healthcare Opportunity Fund II-B.
- [F2]Series B Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series B Convertible Preferred Stock. Consists of (i) 63,753 shares held by SightLine Healthcare Opportunity Fund II, (ii) 22,241 shares held by SightLine Healthcare Opportunity Fund II-A and (iii) 59,258 shares held by SightLine Healthcare Opportunity Fund II-B.
- [F3]Series C Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series C Convertible Preferred Stock. Consists of (i) 189,144 shares held by SightLine Healthcare Opportunity Fund II, (ii) 65,986 shares held by SightLine Healthcare Opportunity Fund II-A and (iii) 175,807 shares held by SightLine Healthcare Opportunity Fund II-B.
- [F4]Series D Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series D Convertible Preferred Stock. Consists of (i) 137,866 shares held by SightLine Healthcare Opportunity Fund II, (ii) 48,098 shares held by SightLine Healthcare Opportunity Fund II-A, (iii) 128,145 shares held by SightLine Healthcare Opportunity Fund II-B and (iv) 31,410 shares held by SightLine Investors, LLC.
- [F5]The warrants to purchase Series A Convertible Preferred Stock are exercisable at any time at the holder's election, and have an expiration date of March 14, 2022. Consists of (i) warrants to purchase 9,168 shares held by SightLine Healthcare Opportunity Fund II, (ii) warrants to purchase 3,198 shares held by SightLine Healthcare Opportunity Fund II-A and (iii) warrants to purchase 8,522 shares held by SightLine Healthcare Opportunity Fund II-B.