Vapotherm, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-01-24: Reporting owner Vapotherm Investors, LLC; Form 3/A; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2020-01-24: Reporting owner Vapotherm Investors, LLC; Form 3/A; Security Series B Convertible Preferred Stock; Transaction Holding.
- 2020-01-24: Reporting owner Vapotherm Investors, LLC; Form 3/A; Security Series C Convertible Preferred Stock; Transaction Holding.
- 2020-01-24: Reporting owner Vapotherm Investors, LLC; Form 3/A; Security Series D Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-01-24 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3/A | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3/A | Series D-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3/A | Warrant to purchase Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · By3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · By3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · By3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Arnerich Anthony L. Director, 10% Owner | 3/A | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | 3x5 Partners, LLC 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By3x5 Special Opportunity Fund, L.P. | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 | ||
| 2020-01-24 holding as of filing | Walrod Nicholas T. 10% Owner | 3 | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | Holding | no price filed | 2020-01-24 |