Liken James W's Form 4 filing
Vapotherm Inc (VAPO) · filed Sep 24, 2024
- Accession no.
- 0001235802-24-000079
- Filed
- Sep 24, 2024
- Trade date
- Jan 22-Sep 20, 2024
- Filing delay
- 246 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $15.9K. It was filed 246 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Liken James WCIK 0001186465 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 22, 2024 | Common Stock | SSaleDisposed | −17,500 | $0.91F1 | −$15,925 | 50,308 | Direct | |
| Sep 20, 2024 | Common Stock | DReturned to the companyDisposed | −50,308 | $2.18F2 | −$109,671.44 | 0 | Direct | |
| Sep 20, 2024 | Common Stock | DReturned to the companyDisposed | −4,500 | $2.18F3 | −$9,810 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 20, 2024 | Common Stock | DReturned to the companyDisposed | −1,187 | $0.00 | $0 | 0 | Direct | |
| Sep 20, 2024 | Common Stock | DReturned to the companyDisposed | −1,089 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.88 to $0.92, inclusive. The reporting person undertakes to provide to Vapotherm, Inc. (Company), 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 (1) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F2
Disposed of pursuant to an Agreement and Plan of Merger, dated as of June 17, 2024, among Veronica Holdings, LLC, Veronica Intermediate Holdings, LLC, Veronica Merger Sub, Inc. and the Company, in exchange for a cash payment of $2.18 per share.
Referenced by the price of 1 transaction in Table I.
- F3
The restricted stock unit awards, which these shares were subject to, were canceled in the merger in exchange for a cash payment of $2.18 per underlying share.
Referenced by the price of 1 transaction in Table I.