SEC Form 4 · accession 0001144204-18-060540

VAPOTHERM INC · VAPO

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

Reporting owners

10% Owner

10% Owner

Period of report

Nov 16, 2018

Accepted (ET)

Nov 16, 2018 · 4:54 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^F1,F2	Nov 16, 2018	C	816,683	—	A	816,683	I	Footnote
Common Stock^F3,F2	Nov 16, 2018	C	142,857	—	A	959,540	I	Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series D Convertible Preferred Stock^F2,F1	—	Nov 16, 2018	C	11,433,597	D	—	—	Common Stock	816,683	0	I
Series D-1 Convertible Preferred Stock^F2,F3	—	Nov 16, 2018	C	1,759,015	D	—	—	Common Stock	142,857	0	I

F1The Series D Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 14-for-1 basis and had no expiration date.
F2These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F3The Series D-1 Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 12.3131-for-1 basis and had no expiration date.