Vapotherm, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-02-17: Reporting owner Roystone Capital Management LP | Roystone Capital Holdings LLC | Barrera Richard R; Form 3; Security Warrant; Transaction Holding.
- 2023-02-10: Reporting owner Berry Lance A; Form 4; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2023-02-10: Reporting owner Landry John; Form 4; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2023-02-10: Reporting owner McKay Dorota; Form 4; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-02-17 holding as of filing | Roystone Capital Management LP | Roystone Capital Holdings LLC | Barrera Richard R 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Indirect · See Footnote | Holding | $1.17 exercise price | 2023-02-17 | ||
| 2023-02-10 | Berry Lance A Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +95,238 95,238 owned after | $1.17 exercise price | 2023-02-14 | |
| 2023-02-10 | Landry John Officer (SVP & Chief Financial Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +71,428 71,428 owned after | $1.17 exercise price | 2023-02-14 | |
| 2023-02-10 | McKay Dorota Officer (VP, Controller and CAO) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +19,047 19,047 owned after | $1.17 exercise price | 2023-02-14 | |
| 2023-02-10 | LIKEN JAMES W Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +238,095 238,095 owned after | $1.17 exercise price | 2023-02-14 | |
| 2023-02-10 | Army Joseph Director, Officer (President and CEO) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +476,190 476,190 owned after | $1.17 exercise price | 2023-02-14 | |
| 2023-02-10 | WEATHERMAN ELIZABETH H Director | 4 | Warrant Derivative · Indirect · Elizabeth H. Weatherman Revocable Trust | P Open market or private purchase of non-derivative or derivative security | +476,190 476,190 owned after | $1.17 exercise price | 2023-02-14 | |
| 2020-10-01 | 3x5 Partners, LLC 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Vapotherm Investors, LLC | X Exercise of in-the-money or at-the-money derivative security | −42,857 0 owned after | $14.00 exercise price | 2020-10-02 | |
| 2020-10-01 | Walrod Nicholas T. 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By 3x5 Partners, LLC | X Exercise of in-the-money or at-the-money derivative security | −42,857 0 owned after | $14.00 exercise price | 2020-10-02 | |
| 2020-10-01 | Arnerich Anthony L. Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By 3x5 Partners, LLC | X Exercise of in-the-money or at-the-money derivative security | −42,857 0 owned after | $14.00 exercise price | 2020-10-02 |