Vapotherm, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 129 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-11-16: Reporting owner Walrod Nicholas T.; Form 4/A; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-11-16: Reporting owner Walrod Nicholas T.; Form 4/A; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-11-16: Reporting owner Walrod Nicholas T.; Form 4/A; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-11-16: Reporting owner Walrod Nicholas T.; Form 4/A; Security Series D Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | J Other acquisition or disposition (describe transaction) | −42,857 42,857 owned after | $14.48 exercise price | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −285,714 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −264,244 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | J Other acquisition or disposition (describe transaction) | −42,857 42,857 owned after | $14.48 exercise price | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −285,714 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Arnerich Anthony L. Director, 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −264,244 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | J Other acquisition or disposition (describe transaction) | −42,857 42,857 owned after | $14.48 exercise price | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −285,714 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −264,244 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2020-03-26 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Warrant to Purchase Series A Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −42,857 42,857 owned after | $14.48 exercise price | 2020-03-26 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4/A | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −42,857 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −285,714 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Partners, LLC 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −264,244 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · By Vapotherm Investors, LLC | C Conversion of derivative security | −42,857 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −285,714 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Walrod Nicholas T. 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By 3x5 Special Opportunity Fund, L.P. | C Conversion of derivative security | −264,244 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Special Opportunity Fund, L.P. 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Special Opportunity Fund, L.P. 10% Owner | 4/A | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −285,714 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | 3x5 Special Opportunity Fund, L.P. 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −264,244 0 owned after | $0.00 | 2020-01-24 | |
| 2018-11-16 | Gilde Healthcare Holding B.V. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −482,142 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Gilde Healthcare Holding B.V. 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −401,527 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Gilde Healthcare Holding B.V. 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −144,410 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Gilde Healthcare Holding B.V. 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −68,447 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −227,600 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −75,700 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −849,239 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −890,056 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Vapotherm Investors, LLC 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −208,752 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Morgenthaler Management Partners IX, LLC | MORGENTHALER VENTURE PARTNERS IX LP 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −214,285 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Morgenthaler Management Partners IX, LLC | MORGENTHALER VENTURE PARTNERS IX LP 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −217,803 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Morgenthaler Management Partners IX, LLC | MORGENTHALER VENTURE PARTNERS IX LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −359,842 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Morgenthaler Management Partners IX, LLC | MORGENTHALER VENTURE PARTNERS IX LP 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −129,418 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Morgenthaler Management Partners IX, LLC | MORGENTHALER VENTURE PARTNERS IX LP 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −61,342 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Landry John Officer (See Remarks) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −351 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Landry John Officer (See Remarks) | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −369 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Partners LLC | SightLine Investors LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −372,206 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Partners LLC | SightLine Investors LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −145,252 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Partners LLC | SightLine Investors LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −430,937 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Partners LLC | SightLine Investors LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −314,109 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Partners LLC | SightLine Investors LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −35,713 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | COOLIDGE JOHN Officer (Vice President, Operations) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −351 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | COOLIDGE JOHN Officer (Vice President, Operations) | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −303 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | 3x5 Special Opportunity Fund, L.P. 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −500,000 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | 3x5 Special Opportunity Fund, L.P. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −285,714 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | 3x5 Special Opportunity Fund, L.P. 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −264,244 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Army Joseph Director, Officer (President and CEO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −351 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Army Joseph Director, Officer (President and CEO) | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −304 0 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · Footnote | C Conversion of derivative security | −11,433,597 0 owned after | $0.00 | 2018-11-16 | |
| 2018-11-16 | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · Footnote | C Conversion of derivative security | −1,759,015 0 owned after | $0.00 | 2018-11-16 | |
| 2018-11-13 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Gilde Healthcare Holding B.V. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Gilde Healthcare Holding B.V. 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Gilde Healthcare Holding B.V. 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Investors LLC | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Partners LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Investors LLC | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Partners LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | SightLine Healthcare Opportunity Fund II-A, L.P. | SightLine Investors LLC | SightLine Healthcare Opportunity Fund II-B, L.P. | SightLine Healthcare Opportunity Fund II, L.P. | SightLine Partners LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 |