Amended Statement of Beneficial Ownership (3/a)
24 Gennaio 2020 - 10:08PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Vapotherm Investors, LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/13/2018
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3. Issuer Name and Ticker or Trading Symbol
VAPOTHERM INC [VAPO]
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(Last)
(First)
(Middle)
2540 NE MARTIN LUTHER KING JR. BLVD. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
PORTLAND, OR 97212
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 11/13/2018
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Series A Convertible Preferred Stock | (1) | (1) | Common Stock | 227600 | (1) | D | |
Series B Convertible Preferred Stock | (2) | (2) | Common Stock | 75700 | (2) | D | |
Series C Convertible Preferred Stock | (3) | (3) | Common Stock | 849239 | (3) | D | |
Series D Convertible Preferred Stock | (4) | (4) | Common Stock | 1073655 | (4) | D | |
Series D-1 Convertible Preferred Stock | (5) | (5) | Common Stock | 208752 | (5) | D | |
Warrant to purchase Series A Convertible Preferred Stock | (6) | (6) | Series A Convertible Preferred Stock | 42857 | (6) | D | |
Explanation of Responses: |
(1) | Series A Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series A Convertible Preferred Stock. |
(2) | Series B Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series B Convertible Preferred Stock. |
(3) | Series C Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series C Convertible Preferred Stock. |
(4) | Series D Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series D Convertible Preferred Stock. |
(5) | Series D-1 Convertible Preferred Stock is convertible into shares of common stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the registrant. There is no expiration date for the Series D-1 Convertible Preferred Stock. |
(6) | The warrants to purchase Series A Convertible Preferred Stock are exercisable at any time at the holder's election, and have an expiration date of September 7, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Vapotherm Investors, LLC 2540 NE MARTIN LUTHER KING JR. BLVD. PORTLAND, OR 97212 |
| X |
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Signatures
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/s/ Anthony Ten Haagen, as Attorney-In-Fact | | 1/24/2020 |
**Signature of Reporting Person | Date |
Grafico Azioni Vapotherm (QX) (USOTC:VAPO)
Storico
Da Nov 2024 a Dic 2024
Grafico Azioni Vapotherm (QX) (USOTC:VAPO)
Storico
Da Dic 2023 a Dic 2024
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