4/A//SEC Filing
Walrod Nicholas T. 4/A
Accession 0000899243-20-009532
CIK 0001253176other
Filed
Mar 25, 8:00 PM ET
Accepted
Mar 26, 4:48 PM ET
Size
31.5 KB
Accession
0000899243-20-009532
Insider Transaction Report
Form 4/AAmended
VAPOTHERM INCVAPO
Walrod Nicholas T.
10% Owner
Transactions
- Conversion
Common Stock
2018-11-16+2,042,595→ 2,042,595 total(indirect: By LLC) - Conversion
Series D Convertible Preferred Stock
2018-11-16−890,056→ 0 total(indirect: By LLC)→ Common Stock (890,056 underlying) - Conversion
Series A Convertible Preferred Stock
2018-11-16−500,000→ 0 total(indirect: By 3x5 Special Opportunity Fund, L.P.)→ Common Stock (500,000 underlying) - Conversion
Series A Convertible Preferred Stock
2018-11-16−227,600→ 0 total(indirect: By LLC)→ Common Stock (227,600 underlying) - Conversion
Series C Convertible Preferred Stock
2018-11-16−849,239→ 0 total(indirect: By LLC)→ Common Stock (849,239 underlying) - Conversion
Series B Convertible Preferred Stock
2018-11-16−285,714→ 0 total(indirect: By 3x5 Special Opportunity Fund, L.P.)→ Common Stock (285,714 underlying) - Conversion
Series B Convertible Preferred Stock
2018-11-16−75,700→ 0 total(indirect: By LLC)→ Common Stock (75,700 underlying) - Other
Warrant to purchase Series A Convertible Preferred Stock
2018-11-16−42,857→ 42,857 total(indirect: By LLC)Exercise: $14.48From: 2018-11-16Exp: 2022-09-07→ Common Stock (42,857 underlying) - Conversion
Common Stock
2018-11-16+208,752→ 2,251,347 total(indirect: By LLC) - Conversion
Series D-1 Convertible Preferred Stock
2018-11-16−208,752→ 0 total(indirect: By LLC)→ Common Stock (208,752 underlying) - Conversion
Series C Convertible Preferred Stock
2018-11-16−264,244→ 0 total(indirect: By 3x5 Special Opportunity Fund, L.P.)→ Common Stock (264,244 underlying) - Conversion
Common Stock
2018-11-16+1,049,958→ 1,049,958 total(indirect: By 3x5 Special Opportunity Fund, L.P.)
Footnotes (4)
- [F1]Upon closing of the Issuer's initial public offering, 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 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 Partners, 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.
- [F4]Immediately prior to the closing of the Issuer's initial public offering, each outstanding Warrant to Purchase Series A Convertible Preferred Stock automatically converted into a Warrant to Purchase Common Stock.
Documents
Issuer
VAPOTHERM INC
CIK 0001253176
Entity typeother
Related Parties
1- filerCIK 0001752890
Filing Metadata
- Form type
- 4/A
- Filed
- Mar 25, 8:00 PM ET
- Accepted
- Mar 26, 4:48 PM ET
- Size
- 31.5 KB