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Filing Details

Accession Number:: 0000899243-20-026947
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-10-02 18:36:55
Reporting Period:: 2020-10-01

Accepted Time:: 2020-10-02 18:36:55
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
1762924	3X5 Partners, Llc	2540 Ne Martin Luther King Jr. Blvd. Portland OR 97212		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-10-01	42,857	$14.00	1,814,082	No	4	X	Indirect	By Vapotherm Investors, LLC
Common Stock	Disposition	2020-10-01	20,689	$29.00	1,793,393	No	4	S	Indirect	By Vapotherm Investors, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	X	Indirect	By Vapotherm Investors, LLC
No	4	S	Indirect	By Vapotherm Investors, LLC

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant to Purchase Common Stock	Disposition	2020-10-01	42,857	$0.00	42,857	$14.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2012-09-07	2022-09-07	No	4	X	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	839,966	Indirect	By 3x5 Special Opportunity Fund, L.P.
Common Stock	2,625	Indirect	By Arnerich 3x5 Special Opportunity Managers, L.P.
Common Stock	30,000	Direct

Footnotes

Warrants to purchase Series A Convertible Preferred Stock converted automatically into Warrants to purchase Common Stock upon the consummation of the Issuer's initial public offering..
The Reporting Person is the managing member of Vapotherm Investors, LLC, the direct beneficial owner of these 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 its pecuniary interest therein.
On October 1, 2020, Vapotherm Investors, LLC exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 20,689 of the warrant shares to pay the exercise price and issuing to Vapotherm Investors, LLC the remaining 22,168 shares.
The Reporting Person is a member of 3x5 Special Opportunity Partners, LLC. 3x5 Special Opportunity Partners, LLC is the general partner of 3x5 Special Opportunity Fund, L.P., the direct beneficial owner of these 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 its pecuniary interest therein.
The Reporting Person is the general manager of Arnerich 3x5 Special Opportunity Managers, L.P. 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 its pecuniary interest therein.