| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | VAPO | Common Stock | Purchase | $14.5K | +5K | +73.98% | $2.90 | 11.8K | Aug 30, 2023 | Direct | F1 |
| transaction | VAPO | Common Stock | Purchase | $39.5K | +12.8K | +108.43% | $3.10 | 24.5K | Aug 31, 2023 | Direct | F1, F2, F3 |
| transaction | VAPO | Common Stock | Purchase | $63.3K | +20K | +71.63% | $3.17 | 47.9K | Aug 31, 2023 | By Anthony L. Arnerich Trust | F1, F4 |
| holding | VAPO | Common Stock | 6.11K | Aug 30, 2023 | By Christine A. Arnerich Trust | F1 | |||||
| holding | VAPO | Common Stock | 149K | Aug 30, 2023 | By 3x5 Partners, LLC | F1, F5, F6 |
| Id | Content |
|---|---|
| F1 | The purpose of this Form 4 amendment (this "Form 4/A") is to adjust the amount of securities beneficially owned following the reported transactions by the reporting person to reflect a 1-for-8 reverse split of the common stock of Vapotherm, Inc. effective August 18, 2023. In addition, proportionate adjustments have been made to the reporting person's outstanding equity awards, including the number of restricted stock units as reflected on this Form 4/A and described in footnote (3) to this Form 4/A, to reflect the 1-for-8 reverse stock split. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.8479 to $3.15, inclusive. The reporting person undertakes to provide to Vapotherm, Inc., 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 (2) to this Form 4/A. |
| F3 | Includes 18,375 shares held by the Reporting Person's IRA and 3,281 shares that will be issued over time upon the vesting and settlement of restricted stock unit awards. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.9991 to $3.25, inclusive. The reporting person undertakes to provide to Vapotherm, Inc., 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 (4) to this Form 4/A. |
| F5 | Consists of (i) 985 shares held by Arnerich 3x5 Special Opportunity Managers, L.P., of which 3x5 Partners, LLC is the general manager, (ii) 98,844 shares directly held by Vapotherm Investors, LLC, and (iii) 49,372 shares directly held by 3x5 Special Opportunity Fund, L.P. |
| F6 | The Reporting Person is a managing member of 3x5 Partners, LLC. 3x5 Partners, LLC is the managing member of Vapotherm Investors, LLC and a member of 3x5 Special Opportunity Partners, LLC, which is the general partner of 3x5 Special Opportunity Fund, L.P., and by virtue of these relationships 3x5 Partners, LLC may be deemed to indirectly beneficially own the shares directly held by Vapotherm Investors, LLC and 3x5 Special Opportunity Fund, L.P. As a managing member of 3x5 Partners, LLC the Reporting Person shares voting and dispositive power over such securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, of such securities except to the extent of his pecuniary interest therein. |