Arnerich Anthony L. 的 Form 4/A 修正申報
修正Vapotherm Inc（VAPO），2023/10/4 申報
- 申報編號
- 0001235802-23-000105
- 申報時間
- 2023/10/4
- 交易日
- 2023/8/30-8/31
- 申報延遲
- 35 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2023/8/31
這份申報列了 3 筆非衍生性交易。公開市場買進合計 $11.7 萬。交易後 35 天申報。
這份修正申報取代了 0001235802-23-000102（2023/8/31 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Arnerich Anthony L.CIK 0001752635 | 董事 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
The purpose of this Form 4 amendment (this "Form 4/A") is to adjust the amount of securities beneficially owned following the reported transactions by the reporting person to reflect a 1-for-8 reverse split of the common stock of Vapotherm, Inc. effective August 18, 2023. In addition, proportionate adjustments have been made to the reporting person's outstanding equity awards, including the number of restricted stock units as reflected on this Form 4/A and described in footnote (3) to this Form 4/A, to reflect the 1-for-8 reverse stock split.
- F2
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.8479 to $3.15, inclusive. The reporting person undertakes to provide to Vapotherm, Inc., 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 (2) to this Form 4/A.
表 I 有 1 筆交易的價格引用這則附註。
- F3
Includes 18,375 shares held by the Reporting Person's IRA and 3,281 shares that will be issued over time upon the vesting and settlement of restricted stock unit awards.
- F4
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.9991 to $3.25, inclusive. The reporting person undertakes to provide to Vapotherm, Inc., 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 (4) to this Form 4/A.
表 I 有 1 筆交易的價格引用這則附註。
- F5
Consists of (i) 985 shares held by Arnerich 3x5 Special Opportunity Managers, L.P., of which 3x5 Partners, LLC is the general manager, (ii) 98,844 shares directly held by Vapotherm Investors, LLC, and (iii) 49,372 shares directly held by 3x5 Special Opportunity Fund, L.P.
- F6
The Reporting Person is a managing member of 3x5 Partners, LLC. 3x5 Partners, LLC is the managing member of Vapotherm Investors, LLC and a member of 3x5 Special Opportunity Partners, LLC, which is the general partner of 3x5 Special Opportunity Fund, L.P., and by virtue of these relationships 3x5 Partners, LLC may be deemed to indirectly beneficially own the shares directly held by Vapotherm Investors, LLC and 3x5 Special Opportunity Fund, L.P. As a managing member of 3x5 Partners, LLC the Reporting Person shares voting and dispositive power over such securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, of such securities except to the extent of his pecuniary interest therein.