Filing Details
- Accession Number:
- 0001235802-24-000079
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-09-24 15:16:55
- Reporting Period:
- 2024-01-22
- Accepted Time:
- 2024-09-24 15:16:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1186465 | W James Liken | 100 Domain Drive Exeter NH 03833 | Yes | No | No | 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 | Disposition | 2024-01-22 | 17,500 | $0.91 | 50,308 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2024-09-20 | 50,308 | $2.18 | 0 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2024-09-20 | 4,500 | $2.18 | 0 | No | 4 | D | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | D | Direct | |
| No | 4 | D | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2024-09-20 | 1,187 | $0.00 | 1,187 | $150.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2024-09-20 | 1,089 | $0.00 | 1,089 | $18.48 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2029-07-24 | No | 4 | D | Direct | |
| 0 | 2032-07-27 | No | 4 | D | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.88 to $0.92, inclusive. The reporting person undertakes to provide to Vapotherm, Inc. (Company), 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 (1) to this Form 4.
- Disposed of pursuant to an Agreement and Plan of Merger, dated as of June 17, 2024, among Veronica Holdings, LLC, Veronica Intermediate Holdings, LLC, Veronica Merger Sub, Inc. and the Company, in exchange for a cash payment of $2.18 per share.
- The restricted stock unit awards, which these shares were subject to, were canceled in the merger in exchange for a cash payment of $2.18 per underlying share.
- This option, which provided for vesting in full on the earlier of the first anniversary of the date of grant or the date of the Company's 2020 annual meeting of stockholders, was canceled in the merger in exchange for a cash payment equal to: (a) the number of shares of Company common stock underlying the option, multiplied by (b) the excess, if any, of $2.18 over the per share exercise price of such option, which cash payment was $0.00 since this option had an exercise price that exceeded $2.18.
- This option, which provided for vesting in full on the earlier of the first anniversary of the date of grant or the date of the Company's 2023 annual meeting of stockholders, was canceled in the merger in exchange for a cash payment equal to: (a) the number of shares of Company common stock underlying the option, multiplied by (b) the excess, if any, of $2.18 over the per share exercise price of such option, which cash payment was $0.00 since this option had an exercise price that exceeded $2.18.
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