Thomas W. Smith - 24 Jun 2021 Form 4 Insider Report for VAPOTHERM INC

Reporting relationship: Member of Section 13(d) Group, 10%+ Owner
Issuer ticker: N/A
Reported as of: 24 Jun 2021
Net transaction value: +$4,767,553
SEC form: 4
Accepted by SEC: 28 Jun 2021, 16:05:24 UTC
Next SEC filing: 12 Nov 2021
Source filing: View source filing
Reporting owner signature: /s/ Thomas W. Smith

Key filing fact

Thomas W. Smith filed Form 4 for VAPOTHERM INC on 28 Jun 2021.

Key facts

This page summarizes Thomas W. Smith's Form 4 filing for VAPOTHERM INC.
3 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 28 Jun 2021, 16:05.

Change

No earlier filing in this sequence is available for direct comparison.
Current net transaction value: +$4,767,553.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

VAPO transaction

Common Stock

Purchase

Transaction value: $2,247,075
Shares: +94,264
Change %: +21%
Price: $23.84
Shares after: 544,264
Date: 24 Jun 2021
Ownership: By Ridgeview Smith Investments LLC
Footnotes: F1

VAPO transaction

Common Stock

Purchase

Transaction value: $2,098,647
Shares: +87,768
Change %: +16%
Price: $23.91
Shares after: 632,032
Date: 25 Jun 2021
Ownership: By Ridgeview Smith Investments LLC
Footnotes: F1

VAPO transaction

Common Stock

Purchase

Transaction value: $421,831
Shares: +17,968
Change %: +2.8%
Price: $23.48
Shares after: 650,000
Date: 28 Jun 2021
Ownership: By Ridgeview Smith Investments LLC
Footnotes: F1

VAPO holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 139,500
Date: 24 Jun 2021
Ownership: By Thomas W. Smith Family Accounts
Footnotes: F2

VAPO holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 86,447
Date: 24 Jun 2021
Ownership: By Prescott Investors Profit Sharing Trust
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote F1

These shares are owned directly by Ridgeview Smith Investments LLC ("Ridgeview"), a limited liability company established by Mr. Smith for the benefit of his family and are beneficially owned indirectly by Mr. Smith as trustee of a revocable trust he established for the benefit of his family and which is the sole member of Ridgeview. Mr. Smith disclaims beneficial ownership of these shares in excess of his pecuniary interest under Rule 16a-1(a)(2)(iii). The address of Ridgeview is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.

Footnote F2

These shares are owned directly by investment accounts established for the benefit of certain family members of Thomas W. Smith. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or any other purpose and Mr. Smith disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Footnote F3

These shares are owned directly by the Prescott Investors Profit Sharing Trust (the "Trust"), an employee profit-sharing plan for which Mr. Smith serves as a trustee. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or any other purpose and Mr. Smith disclaims beneficial ownership of these shares under Rule 16a-8(b)(1). The address of the Trust is 2200 Butts Road, Suite 320, Boca Raton, FL 33431.

SEC remarks

The filing of this report shall not be deemed to be an admission that the Reporting Person is a member of a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended. The Reporting Person disclaims beneficial ownership of the shares included in this report except to the extent of his pecuniary interest in such shares.