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Filing Details

Accession Number:: 0001235802-23-000105
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2023-10-04 16:11:34
Reporting Period:: 2023-08-30

Accepted Time:: 2023-10-04 16:11:34
Original Submission Date:: 2023-08-31
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1253176	Vapotherm Inc	VAPO	Surgical & Medical Instruments & Apparatus (3841)	462259298

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1752635	L. Anthony Arnerich	100 Domain Drive Exeter NH 03833		Yes	No	No	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	Acquisiton	2023-08-30	5,000	$2.90	11,759	No	4	P	Direct
Common Stock	Acquisiton	2023-08-31	12,750	$3.10	24,509	No	4	P	Direct
Common Stock	Acquisiton	2023-08-31	20,000	$3.17	47,921	No	4	P	Indirect	By Anthony L. Arnerich Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Direct
No	4	P	Indirect	By Anthony L. Arnerich Trust

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	6,112	Indirect	By Christine A. Arnerich Trust
Common Stock	149,201	Indirect	By 3x5 Partners, LLC

Footnotes

The purpose of this Form 4 amendment (this "Form 4/A") is to adjust the amount of securities beneficially owned following the reported transactions by the reporting person to reflect a 1-for-8 reverse split of the common stock of Vapotherm, Inc. effective August 18, 2023. In addition, proportionate adjustments have been made to the reporting person's outstanding equity awards, including the number of restricted stock units as reflected on this Form 4/A and described in footnote (3) to this Form 4/A, to reflect the 1-for-8 reverse stock split.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.8479 to $3.15, 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 (2) to this Form 4/A.
Includes 18,375 shares held by the Reporting Person's IRA and 3,281 shares that will be issued over time upon the vesting and settlement of restricted stock unit awards.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.9991 to $3.25, 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 (4) to this Form 4/A.
Consists of (i) 985 shares held by Arnerich 3x5 Special Opportunity Managers, L.P., of which 3x5 Partners, LLC is the general manager, (ii) 98,844 shares directly held by Vapotherm Investors, LLC, and (iii) 49,372 shares directly held by 3x5 Special Opportunity Fund, L.P.
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.