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.
- 2018-11-13: Reporting owner 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; Form 3; Security Series D Convertible Preferred Stock; Transaction Holding.
- 2018-11-13: Reporting owner 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; Form 3; Security Warrant to purchase Series A Convertible Preferred Stock; Transaction Holding.
- 2018-11-13: Reporting owner Green Jeremy | Redmile Group, LLC; Form 3; Security Series D Convertible Preferred Stock; Transaction Holding.
- 2018-11-13: Reporting owner Green Jeremy | Redmile Group, LLC; Form 3; Security Series D-1 Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 D 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 | Warrant to purchase Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Green Jeremy | Redmile Group, LLC 10% Owner | 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 | Green Jeremy | Redmile Group, LLC 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | 3x5 Special Opportunity Fund, L.P. 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | 3x5 Special Opportunity Fund, L.P. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | 3x5 Special Opportunity Fund, L.P. 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Arnerich Anthony L. Director | 3 | Warrant to purchase Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Vapotherm Investors, LLC 10% Owner | 3 | Warrant to purchase Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Pardo Geoffrey B Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Pardo Geoffrey B Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Pardo Geoffrey B Director | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Army Joseph Director, Officer (President and CEO) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Army Joseph Director, Officer (President and CEO) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Landry John Officer (See Remarks) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | Landry John Officer (See Remarks) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | COOLIDGE JOHN Officer (Vice President, Operations) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 | ||
| 2018-11-13 holding as of filing | COOLIDGE JOHN Officer (Vice President, Operations) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-13 |