4//SEC Filing
Walrod Nicholas T. 4
Accession 0000899243-20-033204
CIK 0001253176other
Filed
Dec 8, 7:00 PM ET
Accepted
Dec 9, 7:02 PM ET
Size
18.9 KB
Accession
0000899243-20-033204
Insider Transaction Report
Form 4
VAPOTHERM INCVAPO
Walrod Nicholas T.
10% Owner
Transactions
- Other
Common Stock
2020-12-07−209,992→ 2,455,992 total(indirect: By LLC) - Other
Common Stock
2020-12-07−442,806→ 2,013,186 total(indirect: By LLC) - Other
Common Stock
2020-12-07+503→ 1,006 total(indirect: By Trust) - Other
Common Stock
2020-12-07+2,625→ 2,015,811 total(indirect: By LLC) - Sale
Common Stock
2020-12-09$27.80/sh−3,684$102,415→ 1,990,811 total(indirect: By LLC) - Sale
Common Stock
2020-12-08$27.90/sh−21,316$594,716→ 1,994,495 total(indirect: By LLC)
Footnotes (6)
- [F1]Distribution of shares by 3x5 Special Opportunity Fund, L.P. pro rata without consideration to its general partners and limited partners. A portion of this distribution was made pursuant to a sales plan adopted by 3x5 Special Opportunity Fund, L.P. and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934.
- [F2]Distribution of shares by Vapotherm Investors, LLC pro rata without consideration to its members. A portion of this distribution was made pursuant to a sales plan adopted by Vapotherm Investors, LLC and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934.
- [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 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.
- [F4]Sale of shares by 3x5 Special Opportunity Fund, L.P.
- [F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.80 to $28.00, inclusive. The Reporting Person undertakes to provide 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 sold at each separate price within this range.
- [F6]Consists of (i) 30,000 shares directly held by 3x5 Partners, LLC, (ii) 5,250 shares held by Arnerich 3x5 Special Opportunity Managers, L.P., of which 3x5 Partners, LLC is the general manager, (iii) 1,350,587 shares directly held by Vapotherm Investors, LLC and (iv) 604,974 shares directly held by 3x5 Special Opportunity Fund, L.P.
Issuer
VAPOTHERM INC
CIK 0001253176
Entity typeother
Related Parties
1- filerCIK 0001752890
Filing Metadata
- Form type
- 4
- Filed
- Dec 8, 7:00 PM ET
- Accepted
- Dec 9, 7:02 PM ET
- Size
- 18.9 KB