Filing Details
- Accession Number:
- 0000899243-18-029481
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-20 17:12:16
- Reporting Period:
- 2018-11-16
- Accepted Time:
- 2018-11-20 17:12:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1253176 | Vapotherm Inc | VAPO | Surgical & Medical Instruments & Apparatus (3841) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1420106 | B.v. Holding Healthcare Gilde | Newtonlaan 91 3584 Bp Utrecht The Netherlands | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-11-16 | 1,028,079 | $0.00 | 1,028,079 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2018-11-16 | 68,447 | $0.00 | 1,096,526 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2018-11-16 | 92,500 | $14.00 | 1,189,026 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2018-11-16 | 482,142 | $0.00 | 482,142 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2018-11-16 | 401,527 | $0.00 | 401,527 | $0.00 |
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2018-11-16 | 144,410 | $0.00 | 144,410 | $0.00 |
| Common Stock | Series D-1 Convertible Preferred Stock | Disposition | 2018-11-16 | 68,447 | $0.00 | 68,447 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Upon closing of the Issuer's initial public offering, each share of 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 B Convertible Preferred Stock, the Series C Convertible Preferred Stock or the Series D Convertible Preferred Stock.
- 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.
- The shares are held directly by Cooperatieve Gilde Healthcare III Sub-Holding U.A. ("Gilde"). Geoff Pardo ("Pardo"), who is a member of the Issuer's board of directors, is a partner of Gilde. Gilde is managed by Gilde Healthcare III Management B.V. ("Management"). Management is owned by Gilde Healthcare Holding B.V. ("Holding"). Each of Pardo, Management and Holding may be deemed to have voting, investment and dispositive power with respect to these securities. Each of Pardo, Management and Holding disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein
Billionaire Hedge Funds
