Form Type: 4

SEC EDGAR Link
Accession Number:0001235802-22-000079
Date:2022-06-13
Issuer: VAPOTHERM INC (VAPO)
Original Submission Date:

Reporting Person:

ARNERICH ANTHONY L.
100 DOMAIN DRIVE
EXETER, NH 03833

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2022-06-13 P 5,000 a $2.82 48,898 indirect
COMMON STOCK 2022-06-13 0 $0.00 53,374 indirect
COMMON STOCK 2022-06-13 0 $0.00 22,576 direct
COMMON STOCK 2022-06-13 0 $0.00 1,193,621 indirect f4
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted average price. these shares were purchased in multiple transactions at prices ranging from $2.76 to $2.87, 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.
f2 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.
f3 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.
f4 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.
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