SEC Form 3 · accession 0000899243-18-028779

VAPOTHERM INC · VAPO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Richelle Helman

Officer — See Remarks

Period of report

Nov 13, 2018

Accepted (ET)

Nov 13, 2018 · 6:04 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001253176

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	holding	—	—		—	7,575	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to purchase Common Stock^F1	$1.54	holding	—	—	—	—	Nov 18, 2023	Common Stock	357	—	D
Option to purchase Common Stock^F2	$1.54	holding	—	—	—	—	Mar 10, 2025	Common Stock	250	—	D
Option to purchase Common Stock^F3	$1.54	holding	—	—	—	—	Jul 22, 2025	Common Stock	142	—	D
Option to purchase Common Stock^F4	$1.68	holding	—	—	—	—	Jan 1, 2026	Common Stock	5,178	—	D
Option to purchase Common Stock^F5	$1.68	holding	—	—	—	—	Mar 8, 2026	Common Stock	142	—	D
Option to purchase Common Stock^F6	$1.68	holding	—	—	—	—	Jan 18, 2027	Common Stock	714	—	D
Option to purchase Common Stock^F7	$1.68	holding	—	—	—	—	Oct 18, 2027	Common Stock	768	—	D
Option to purchase Common Stock^F8	$1.68	holding	—	—	—	—	May 1, 2028	Common Stock	22,727	—	D

Explanation of responses

F1The option vested and became exercisable as to 25% of the underlying shares on November 18, 2014 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter.
F2The option vests and becomes exercisable as to 25% of the underlying shares on March 10, 2016 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
F3The option vests and becomes exercisable as to 25% of the underlying shares on July 22, 2016 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
F4The option vests and becomes exercisable as to 25% of the underlying shares on January 1, 2017 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
F5The option vests and becomes exercisable as to 25% of the underlying shares on March 8, 2017 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
F6The option vests and becomes exercisable as to 25% of the underlying shares on January 18, 2018 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
F7The option vests and becomes exercisable as to 25% of the underlying shares on October 18, 2018 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
F8The option vests and becomes exercisable as to 25% of the underlying shares on May 1, 2019 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

Remarks

Vice President, Regulatory Affairs & Quality Exhibit List Exhibit 24 - Power of Attorney