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Filing Details

Accession Number:: 0001104659-22-116461
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-11-09 16:01:33
Reporting Period:: 2022-11-07

Accepted Time:: 2022-11-09 16:01:33
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1253176	Vapotherm Inc	VAPO	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
926688	W Thomas Smith	2200 Butts Road, Suite 320 Boca Raton FL 33431		No	No	Yes	Yes
1538653	Prescott General Partners Llc	2200 Butts Road, Suite 320 Boca Raton FL 33431		No	No	Yes	Yes

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	Disposition	2022-11-07	92,944	$0.73	1,602,324	No	4	S	Indirect	By Prescott Associates L.P.
Common Stock	Disposition	2022-11-07	3,754	$0.73	64,717	No	4	S	Indirect	By Prescott International Partners L.P.
Common Stock	Disposition	2022-11-07	43,504	$0.73	750,000	No	4	S	Indirect	By Idoya Partners L.P.
Common Stock	Disposition	2022-11-07	4,739	$0.73	81,708	No	4	S	Indirect	By Prescott Investors Profit Sharing Trust
Common Stock	Disposition	2022-11-08	27,680	$0.69	1,574,644	No	4	S	Indirect	By Prescott Associates L.P.
Common Stock	Disposition	2022-11-08	1,118	$0.69	63,599	No	4	S	Indirect	By Prescott International Partners L.P.
Common Stock	Disposition	2022-11-08	12,956	$0.69	737,044	No	4	S	Indirect	By Idoya Partners L.P.
Common Stock	Disposition	2022-11-08	1,412	$0.69	80,296	No	4	S	Indirect	By Prescott Investors Profit Sharing Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Prescott Associates L.P.
No	4	S	Indirect	By Prescott International Partners L.P.
No	4	S	Indirect	By Idoya Partners L.P.
No	4	S	Indirect	By Prescott Investors Profit Sharing Trust
No	4	S	Indirect	By Prescott Associates L.P.
No	4	S	Indirect	By Prescott International Partners L.P.
No	4	S	Indirect	By Idoya Partners L.P.
No	4	S	Indirect	By Prescott Investors Profit Sharing Trust

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	650,000	Indirect	By Ridgeview Smith Investments LLC
Common Stock	139,500	Indirect	By Thomas W. Smith Family Accounts

Footnotes

These shares are owned directly by Prescott Associates L.P. ("Prescott Associates"), a private investment limited partnership, and are beneficially owned indirectly by Prescott General Partners LLC ("PGP"), a Delaware limited liability company, as general partner of Prescott Associates. Messrs. Thomas W. Smith and Scott J. Vassalluzzo are each a managing member of PGP. PGP disclaims beneficial ownership of these shares in excess of its pecuniary interest under Rule 16a-1(a)(2)(ii)(B). The address for Prescott Associates is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.
These shares are owned directly by Prescott International Partners L.P. ("PIP"), a private investment limited partnership, and are beneficially owned indirectly by PGP as general partner of PIP. PGP disclaims beneficial ownership of these shares in excess of its pecuniary interest under Rule 16a-1(a)(2)(ii)(B). The address for PIP is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.
These shares are owned directly by Idoya Partners L.P. ("Idoya"), a private investment limited partnership, and are beneficially owned indirectly by PGP as general partner of Idoya. PGP disclaims beneficial ownership of these shares in excess of its pecuniary interest under Rule 16a-1(a)(2)(ii)(B). The address for Idoya is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.
These shares are owned directly by the Prescott Investors Profit Sharing Trust (the "Trust"), an employee profit-sharing plan for which Mr. Smith serves as a trustee. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or any other purpose and Mr. Smith disclaims beneficial ownership of these shares under Rule 16a-8(b)(1). The address of the Trust is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.
These shares are owned directly by Ridgeview Smith Investments LLC ("Ridgeview"), a limited liability company established by Mr. Smith for the benefit of his family and are beneficially owned indirectly by Mr. Smith as trustee of a revocable trust he established for the benefit of his family and which is the sole member of Ridgeview. Mr. Smith disclaims beneficial ownership of these shares in excess of his pecuniary interest under Rule 16a-1(a)(2)(iii). The address of Ridgeview is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.
These shares are owned directly by investment accounts established for the benefit of certain family members of Thomas W. Smith. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or any other purpose and Mr. Smith disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.