MORGENTHALER VENTURE PARTNERS IX LP 4

4 · VAPOTHERM INC · Filed Nov 20, 2018

Form 4

Period: 2018-11-16

10% Owner

Transactions

Conversion
Common Stock
2018-11-16+921,348→ 921,348 total
Conversion
Common Stock
2018-11-16+61,342→ 982,690 total
Conversion
Series C Convertible Preferred Stock
2018-11-16−359,842→ 0 total
→ Common Stock (359,842 underlying)
Conversion
Series B Convertible Preferred Stock
2018-11-16−217,803→ 0 total
→ Common Stock (217,803 underlying)
Conversion
Series D-1 Convertible Preferred Stock
2018-11-16−61,342→ 0 total
→ Common Stock (61,342 underlying)
Conversion
Series A Convertible Preferred Stock
2018-11-16−214,285→ 0 total
→ Common Stock (214,285 underlying)
Conversion
Series D Convertible Preferred Stock
2018-11-16−129,418→ 0 total
→ Common Stock (129,418 underlying)

Footnotes (3)

[F1]Upon closing of the Issuer's initial public offering, each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock automatically converted into one share of Common Stock without payment or further consideration. There was no expiration date for the Series A Convertible Preferred Stock, the Series B Convertible Preferred Stock, the Series C Convertible Preferred Stock or the Series D Convertible Preferred Stock.
[F2]Upon closing of the Issuer's initial public offering, each share of Series D-1 Convertible Preferred Stock automatically converted into 1.137 shares of Common Stock without payment or further consideration. There was no expiration date for the Series D-1 Convertible Preferred Stock.
[F3]The securities are held by Morgenthaler Venture Partners IX, L.P. ("MVP IX"). The general partner of MVP IX is Morgenthaler Management Partners IX, LLC ("MMP IX"). MMP IX may be deemed to indirectly beneficially own the securities directly held by MVP IX. MMP IX disclaims beneficial ownership of the securities held by MVP IX except to the extent of its pecuniary interest therein.

Documents

1 file