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Filing Details

Accession Number:: 0000899243-20-033204
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-09 19:02:48
Reporting Period:: 2020-12-07

Accepted Time:: 2020-12-09 19:02:48
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
1752890	T. Nicholas Walrod	C/O Vapotherm Investors, Llc 2540 Ne Martin Luther King Jr. Blvd. Portland OR 97212		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2020-12-07	209,992	$0.00	2,455,992	No	4	J	Indirect	By 3x5 Partners, LLC
Common Stock	Disposition	2020-12-07	442,806	$0.00	2,013,186	No	4	J	Indirect	By 3x5 Partners, LLC
Common Stock	Acquisiton	2020-12-07	2,625	$0.00	2,015,811	No	4	J	Indirect	By 3x5 Partners, LLC
Common Stock	Acquisiton	2020-12-07	503	$0.00	1,006	No	4	J	Indirect	By Nicholas T. Walrod Trust
Common Stock	Disposition	2020-12-08	21,316	$27.90	1,994,495	No	4	S	Indirect	By 3x5 Partners, LLC
Common Stock	Disposition	2020-12-09	3,684	$27.80	1,990,811	No	4	S	Indirect	By 3x5 Partners, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	By 3x5 Partners, LLC
No	4	J	Indirect	By 3x5 Partners, LLC
No	4	J	Indirect	By 3x5 Partners, LLC
No	4	J	Indirect	By Nicholas T. Walrod Trust
No	4	S	Indirect	By 3x5 Partners, LLC
No	4	S	Indirect	By 3x5 Partners, LLC

Footnotes

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.
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.
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.
Sale of shares by 3x5 Special Opportunity Fund, L.P.
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.
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.