WALROD NICHOLAS T. reported 4 transactions at VAPOTHERM INC

Review the transaction codes below to understand the nature of each event.

WALROD NICHOLAS T.

Filed: 1/24/2020ACC: 0000899243-20-001947

InsiderWALROD NICHOLAS T.CIK 1752890

→

IssuerVAPOTHERM INCCIK 1253176

10% Owner

Since Nov 2018

0.00

Net shares

Net seller

$0.00

Total acquired

Open market trades

0B · 0S

Total transactions

3.34M acquired · 3.34M disposed

Non-Derivative Transactions4

Common Stock

Indirect

C · Conversion

+2.04M

Price / share

—

Trade value

—

% of position

New position

11/16/2018

0.00→2.04M

Common Stock

Indirect

C · Conversion

+208.75K

Price / share

—

Trade value

—

% of position

10.2%

11/16/2018

2.04M→2.25M

Common Stock

Indirect

C · Conversion

+42.86K

Price / share

—

Trade value

—

% of position

1.9%

11/16/2018

2.25M→2.29M

Common Stock

Indirect

C · Conversion

+1.05M

Price / share

—

Trade value

—

% of position

New position

11/16/2018

0.00→1.05M

Total

Net shares

+3.34M

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Indirect	11/16/2018	C · Conversion	+2.04M	—	—	New position	0.00	2.04M
Common Stock Indirect	11/16/2018	C · Conversion	+208.75K	—	—	10.2%	2.04M	2.25M
Common Stock Indirect	11/16/2018	C · Conversion	+42.86K	—	—	1.9%	2.25M	2.29M
Common Stock Indirect	11/16/2018	C · Conversion	+1.05M	—	—	New position	0.00	1.05M
Total			+3.34M		$0.00

Derivative Transactions9

Series A Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

227.60K shares

−227.60K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Series B Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

75.70K shares

−75.70K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Series C Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

849.24K shares

−849.24K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Series D Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

890.06K shares

−890.06K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Series D-1 Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

208.75K shares

−208.75K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Warrant to purchase Series A Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

42.86K shares

−42.86K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Series A Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

500K shares

−500K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Series B Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

285.71K shares

−285.71K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Series C Convertible Preferred Stock

Indirect

C · Conversion

Converts to

Common Stock

264.24K shares

−264.24K

Strike price

Held after

0.00

Exercisable

—

11/16/2018

Security	Converts To	Date	Type	Shares	Exercisable
Series A Convertible Preferred Stock Indirect	Common Stock227.60K shares	11/16/2018	C · Conversion	−227.60K	—
Series B Convertible Preferred Stock Indirect	Common Stock75.70K shares	11/16/2018	C · Conversion	−75.70K	—
Series C Convertible Preferred Stock Indirect	Common Stock849.24K shares	11/16/2018	C · Conversion	−849.24K	—
Series D Convertible Preferred Stock Indirect	Common Stock890.06K shares	11/16/2018	C · Conversion	−890.06K	—
Series D-1 Convertible Preferred Stock Indirect	Common Stock208.75K shares	11/16/2018	C · Conversion	−208.75K	—
Warrant to purchase Series A Convertible Preferred Stock Indirect	Common Stock42.86K shares	11/16/2018	C · Conversion	−42.86K	—
Series A Convertible Preferred Stock Indirect	Common Stock500K shares	11/16/2018	C · Conversion	−500K	—
Series B Convertible Preferred Stock Indirect	Common Stock285.71K shares	11/16/2018	C · Conversion	−285.71K	—
Series C Convertible Preferred Stock Indirect	Common Stock264.24K shares	11/16/2018	C · Conversion	−264.24K	—