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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Vapotherm, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| November 14, 2024 |
SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Vapotherm, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 922107107 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| November 14, 2024 |
Joint Filing Statement Pursuant to Rule 13d-1(k)(1) Exhibit 1 CUSIP No.: 922107107 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G under the Securities Exchange Act of 1934, as amended, with respect to the Common Stock, par value $0.001 per share of Vapotherm, Inc. beneficially owned by them, together with any or all amendments thereto, when and if appropriate. The par |
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| November 13, 2024 |
VAPO / Vapotherm, Inc. / Beryl Capital Management LLC Passive Investment SC 13G/A 1 vapo13ga1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vapotherm, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 922107305 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| November 13, 2024 |
Roystone Capital Management LP UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| November 12, 2024 |
VAPO / Vapotherm, Inc. / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment SC 13G/A 1 VAPOSC13GA3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 3) VAPOTHERM, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 922107305 (CUSIP Number) SEPTEMBER 30, 2024 (Date of event which requires filing of this statement) Check the appropriate b |
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| September 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-38740 Vapotherm, Inc. (Exact name of registrant as specified in its char |
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| September 24, 2024 |
VAPO / Vapotherm, Inc. / PERCEPTIVE ADVISORS LLC - SC 13D/A Activist Investment SC 13D/A 1 d873616dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 922107305 (CUSIP Number) Alexander Rakitin Perceptive Advisors LLC 51 Astor Place, 10th Floor New York, NY 10003 (646) 205 |
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| September 20, 2024 |
VAPO / Vapotherm, Inc. / Army Joseph - SCHEDULE 13D/A Activist Investment SC 13D/A 1 jfa20240916sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 Par Value (Title of Class of Securities) 922107 30 5 (CUSIP Number) Joseph F. Army President and Chief Executive Officer Vapotherm, Inc. 100 Domain Driv |
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| September 20, 2024 |
Vapotherm Announces Closing of Merger Exhibit (a)(14) Vapotherm Announces Closing of Merger EXETER, NH, September 20, 2024 /PRNewswire/ - Vapotherm, Inc. |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration Statement No. |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration No. |
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| September 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Amendment No. 3) RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 Vapotherm, Inc. (Name of the Issuer) Vapotherm, Inc. SLR Capital Partners, LLC SLR Investment Corp. SCP Private Credit Income Fund LP SCP Private Credit Income Fund SPV LLC SCP Private Credit Income BDC |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration No. |
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| September 20, 2024 |
BYLAWS VAPOTHERM, INC. ARTICLE I Meetings of Stockholders Exhibit 3.2 BYLAWS OF VAPOTHERM, INC. ARTICLE I Meetings of Stockholders Section 1.1. Annual Meetings. If required by applicable law, an annual meeting of stockholders shall be held for the election of directors at such date, time and place, if any, either within or without the State of Delaware, as may be designated by resolution of the Board of Directors from time to time. Any other proper busin |
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| September 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 20, 2024 Vapotherm, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38740 46-2259298 (State or other jurisdiction of incorporation) (Commission File |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration No. |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration No. |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration Statement No. |
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| September 20, 2024 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF VAPOTHERM, INC. ARTICLE I Name Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF VAPOTHERM, INC. ARTICLE I Name The name of the corporation is Vapotherm, Inc. (the “Corporation”). ARTICLE II Registered Office and Registered Agent The address of the Corporation’s registered office in the State of Delaware is 251 Little Falls Drive, Wilmington, New Castle County, Delaware 19808. The name of its registered agent at |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration No. |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration Statement No. |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration No. |
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| September 20, 2024 |
Vapotherm Announces Closing of Merger Exhibit 99.1 Vapotherm Announces Closing of Merger EXETER, NH, September 20, 2024 /PRNewswire/ - Vapotherm, Inc. (OTCQX: VAPO), (“Vapotherm” or the “Company”), announced today that it has closed its merger with a newly-formed entity organized and funded by an affiliate of Perceptive Advisors, LLC. On June 17, 2024, the Company announced that it had signed a definitive agreement and plan of merger |
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| September 19, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2024 Vapotherm, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38740 46-2259298 (State or other jurisdiction of incorporation) (Commission File |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Amendment No. 2) RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 Vapotherm, Inc. (Name of the Issuer) Vapotherm, Inc. SLR Capital Partners, LLC SLR Investment Corp. SCP Private Credit Income Fund LP SCP Private Credit Income Fund SPV LLC SCP Private Credit Income BDC |
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| August 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38740 Vapotherm, |
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| August 12, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2024 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| August 12, 2024 |
Vapotherm Reports Second Quarter 2024 Financial Results Exhibit 99.1 Vapotherm Reports Second Quarter 2024 Financial Results EXETER, N.H., August 12, 2024 /PRNewswire/ - Vapotherm, Inc. (OTCQX: VAPO), (“Vapotherm” or the “Company”), today announced second quarter 2024 financial results and related highlights. Second Quarter 2024 Financial Results and Related Highlights • Net revenue for the second quarter of 2024 was $16.9 million, an increase of 5.3% |
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| July 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| July 30, 2024 |
ROPES & GRAY LLP 1211 AVENUE OF THE AMERICAS NEW YORK, NY 10036-8704 WWW.ROPESGRAY.COM July 30, 2024 United States Securities and Exchange Commission Division of Corporation Finance Office of Mergers & Acquisitions 100 F Street, N.E. Washington, D.C. 20549 Attn: Laura McKenzie and Daniel Duchovny Re: Vapotherm, Inc. Schedule 13E-3 filed July 8, 2024, by Vapotherm, Inc. et al. File No. 005-90722 Pr |
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| July 30, 2024 |
SC 13E3/A 1 vapo20240726sc13e3a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Amendment No. 1) RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 Vapotherm, Inc. (Name of the Issuer) Vapotherm, Inc. SLR Capital Partners, LLC SLR Investment Corp. SCP Private Credit Income Fund LP SCP Private Credit Income Fund SP |
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| July 18, 2024 |
VAPO / Vapotherm, Inc. / Beryl Capital Management LLC Passive Investment SC 13G 1 vapo13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Vapotherm, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 922107305 (CUSIP Number) July 8, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| July 8, 2024 |
Exhibit (c)(2) |
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| July 8, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Schedule 14A (Form Type) Vapotherm, Inc. |
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| July 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| July 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 Vapotherm, Inc. (Name of the Issuer) Vapotherm, Inc. SLP Capital Partners, LLC SLR Investment Corp. SCP Private Credit Income Fund LP SCP Private Credit Income Fund SPV LLC SCP Private Credit Income BDC LLC SCP Private Cr |
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| July 8, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Schedule 13E-3 (Form Type) Vapotherm, Inc. |
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| June 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 25, 2024 |
EX-99.1 2 d687312dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT The persons below hereby agree that the Schedule 13D to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13D, shall be filed jointly on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. |
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| June 25, 2024 |
VAPO / Vapotherm, Inc. / PERCEPTIVE ADVISORS LLC - SC 13D Activist Investment SC 13D 1 d687312dsc13d.htm SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment )* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 922107305 (CUSIP Number) Alexander Rakitin Perceptive Advisors LLC 51 Astor Place, 10th Floor New York, NY 10003 (646) 205-5340 (Name, |
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| June 20, 2024 |
Exhibit 10.6 AMENDMENT NO. 8 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT NO. 8 TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of June 17, 2024 (“Amendment No. 8 Execution Date”), is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the “Borrower”), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corpo |
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| June 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2024 Vapotherm, Inc. |
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| June 20, 2024 |
Form of SLR Rollover Agreement. Exhibit 10.3 Execution Version ROLLOVER AGREEMENT This ROLLOVER AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), (ii) Veronica Intermediate Holdings, LLC, a Delaware limited liability company (“Parent” and together with Topco, each a “Parent Party” and, collectively, the “Parent Parties |
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| June 20, 2024 |
Form of SLR Rollover Agreement. Exhibit 10.3 Execution Version ROLLOVER AGREEMENT This ROLLOVER AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), (ii) Veronica Intermediate Holdings, LLC, a Delaware limited liability company (“Parent” and together with Topco, each a “Parent Party” and, collectively, the “Parent Parties |
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| June 20, 2024 |
Form of Voting Agreement (Non-Company Insider). Exhibit 10.4 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of June 17, 2024, by and between (i) Veronica Intermediate Holdings, LLC, a Delaware limited liability company (“Parent”), and (ii) the person identified on the signature page hereto as Stockholder (“Stockholder”). WHEREAS, contemporaneously with the execution of this Agreemen |
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| June 20, 2024 |
Form of Stockholder Rollover Agreement (Company Insider). Exhibit 10.1 ROLLOVER AGREEMENT This ROLLOVER AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), (ii) Vapotherm, Inc., a Delaware corporation (the “Company”), and (iii) the person identified on the signature page hereto as Holder (“Holder”). RECITALS WHEREAS, as of the date hereof, Holder |
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| June 20, 2024 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER among VERONICA HOLDINGS, LLC VERONICA INTERMEDIATE HOLDINGS, LLC VERONICA MERGER SUB, INC. and VAPOTHERM, INC. Dated as of June 17, 2024 TABLE OF CONTENTS Page ARTICLE I THE MERGER 3 Section 1.1. The Merger 3 Section 1.2. Closing; Effective Time 4 Section 1.3. Effects of the Merger 4 Section 1.4. Certificate of Incorporation and Bylaws of |
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| June 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2024 Vapotherm, Inc. |
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| June 20, 2024 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER among VERONICA HOLDINGS, LLC VERONICA INTERMEDIATE HOLDINGS, LLC VERONICA MERGER SUB, INC. and VAPOTHERM, INC. Dated as of June 17, 2024 TABLE OF CONTENTS Page ARTICLE I THE MERGER 3 Section 1.1. The Merger 3 Section 1.2. Closing; Effective Time 4 Section 1.3. Effects of the Merger 4 Section 1.4. Certificate of Incorporation and Bylaws of |
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| June 20, 2024 |
Form of Stockholder Rollover Agreement (Non-Company Insider). Exhibit 10.2 ROLLOVER AGREEMENT This ROLLOVER AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), (ii) Vapotherm, Inc., a Delaware corporation (the “Company”), and (iii) the person identified on the signature page hereto as Holder (“Holder”). RECITALS WHEREAS, as of the date hereof, Holder |
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| June 20, 2024 |
Exhibit 10.5 STRICTLY CONFIDENTIAL SUBSCRIPTION AGREEMENT This SUBSCRIPTION AGREEMENT (this “Agreement”), dated as of June [17], 2024, is entered into by and between Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), and the Person identified as Subscriber on the signature pages hereto (“Subscriber”). RECITALS WHEREAS, Subscriber is employed by Vapotherm, Inc., a Delaware corp |
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| June 20, 2024 |
Exhibit 4.1 Execution Version OMNIBUS WARRANT AMENDMENT AGREEMENT THIS OMNIBUS WARRANT AMENDMENT AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Vapotherm, Inc., a Delaware corporation (the “Company”), and (ii) each of the persons identified as a Holder on the signature pages hereto (each, a “Holder” and collectively, the “Holders”). WHEREAS, each of the H |
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| June 20, 2024 |
Form of Voting Agreement (Non-Company Insider). Exhibit 10.4 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of June 17, 2024, by and between (i) Veronica Intermediate Holdings, LLC, a Delaware limited liability company (“Parent”), and (ii) the person identified on the signature page hereto as Stockholder (“Stockholder”). WHEREAS, contemporaneously with the execution of this Agreemen |
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| June 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 20, 2024 |
Exhibit 4.1 Execution Version OMNIBUS WARRANT AMENDMENT AGREEMENT THIS OMNIBUS WARRANT AMENDMENT AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Vapotherm, Inc., a Delaware corporation (the “Company”), and (ii) each of the persons identified as a Holder on the signature pages hereto (each, a “Holder” and collectively, the “Holders”). WHEREAS, each of the H |
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| June 20, 2024 |
Exhibit 10.6 AMENDMENT NO. 8 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT NO. 8 TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of June 17, 2024 (“Amendment No. 8 Execution Date”), is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the “Borrower”), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corpo |
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| June 20, 2024 |
Form of Stockholder Rollover Agreement (Non-Company Insider). Exhibit 10.2 ROLLOVER AGREEMENT This ROLLOVER AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), (ii) Vapotherm, Inc., a Delaware corporation (the “Company”), and (iii) the person identified on the signature page hereto as Holder (“Holder”). RECITALS WHEREAS, as of the date hereof, Holder |
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| June 20, 2024 |
Form of Stockholder Rollover Agreement (Company Insider). Exhibit 10.1 ROLLOVER AGREEMENT This ROLLOVER AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), (ii) Vapotherm, Inc., a Delaware corporation (the “Company”), and (iii) the person identified on the signature page hereto as Holder (“Holder”). RECITALS WHEREAS, as of the date hereof, Holder |
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| June 20, 2024 |
Form of Subscription Agreement. Exhibit 10.5 STRICTLY CONFIDENTIAL SUBSCRIPTION AGREEMENT This SUBSCRIPTION AGREEMENT (this “Agreement”), dated as of June [17], 2024, is entered into by and between Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), and the Person identified as Subscriber on the signature pages hereto (“Subscriber”). RECITALS WHEREAS, Subscriber is employed by Vapotherm, Inc., a Delaware corp |
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| June 18, 2024 |
EX-99.2 3 ex689863.htm EXHIBIT 99.2 Exhibit 99.2 ROLLOVER AGREEMENT This ROLLOVER AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and among (i) Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), (ii) Vapotherm, Inc., a Delaware corporation (the “Company”), and (iii) the person identified on the signature page hereto as Holder (“Holder”). RECITALS WH |
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| June 18, 2024 |
EX-99.3 4 ex689864.htm EXHIBIT 99.3 Exhibit 99.3 SUBSCRIPTION AGREEMENT This SUBSCRIPTION AGREEMENT (this “Agreement”), dated as of June 17, 2024, is entered into by and between Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), and the Person identified as Subscriber on the signature pages hereto (“Subscriber”). RECITALS WHEREAS, Subscriber is employed by Vapotherm, Inc., a D |
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| June 18, 2024 |
EX-99.1 2 ex689862.htm EXHIBIT 99.1 Exhibit 99.1 Execution Version AGREEMENT AND PLAN OF MERGER among VERONICA HOLDINGS, LLC VERONICA INTERMEDIATE HOLDINGS, LLC VERONICA MERGER SUB, INC. and VAPOTHERM, INC. Dated as of June 17, 2024 TABLE OF CONTENTS Page ARTICLE I THE MERGER 3 Section 1.1. The Merger 3 Section 1.2. Closing; Effective Time 4 Section 1.3. Effects of the Merger 4 Section 1.4. Certif |
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| June 18, 2024 |
EX-99.4 5 ex689865.htm EXHIBIT 99.4 Exhibit 99.4 June 17, 2024 Joseph Army By Email Delivery Dear Joseph, Reference is herein made to (i) the Agreement and Plan of Merger, dated as of the date first written above, by and among Veronica Holdings, LLC, a Delaware limited liability company (“Topco”), Vapotherm, Inc., a Delaware corporation (the “Company”), Veronica Intermediate Holdings, LLC, a Delaw |
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| June 18, 2024 |
VAPO / Vapotherm, Inc. / Army Joseph - SCHEDULE 13D/A Activist Investment SC 13D/A 1 jfa20240618sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 Par Value (Title of Class of Securities) 922107 30 5 (CUSIP Number) Joseph F. Army President and Chief Executive Officer Vapotherm, Inc. 100 Domain Driv |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 30, 2024 |
Exhibit 1.01 to Form SD VAPOTHERM, INC. Conflict Minerals Report For the Reporting Period from January 1, 2023 to December 31, 2023 This Conflict Minerals Report (“CMR”) has been prepared by Vapotherm, Inc. (the “Company,” “we,” “our” and “us”) for the reporting period from January 1, 2023 to December 31, 2023. This CMR is being filed as an exhibit to the Company’s Specialized Report on Form SD (“ |
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| May 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Vapotherm, Inc. (Exact name of the registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-38740 (Commission file number) 100 Domain Drive Exeter, NH (Address of principal executive offices) 03833 (Zip code) James A. Lightman Senior Vice Presiden |
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| May 9, 2024 |
Vapotherm Reports First Quarter 2024 Financial Results Exhibit 99.1 Vapotherm Reports First Quarter 2024 Financial Results EXETER, N.H., May 9, 2024 /PRNewswire/ - Vapotherm, Inc. (OTCQX: VAPO), (“Vapotherm” or the “Company”), today announced first quarter 2024 financial results and related highlights. First Quarter 2024 Financial Results and Related Highlights • Net revenue for the first quarter of 2024 was $19.1 million, an increase of 7.9% as compa |
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| May 9, 2024 |
Exhibit 4.1 FINAL THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.5 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COMP |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38740 Vapotherm |
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| May 9, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 09, 2024 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| April 29, 2024 |
-12-31FY2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File |
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| April 1, 2024 |
Exhibit 10.1 Execution Version AMENDMENT No. 7 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT No. 7 TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of March 26, 2024, is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the “Borrower”), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corporation with an o |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2024 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| February 27, 2024 |
As filed with the Securities and Exchange Commission on February 27, 2024 As filed with the Securities and Exchange Commission on February 27, 2024 Registration No. |
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| February 27, 2024 |
Filing Fee Table (filed herewith). Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Vapotherm, Inc. (Exact name of registrant as specified in its charter) Table 1: Newly Registered Securities Security type Security class title Fee calculation rule Amount registered(1) Proposed maximum offering price per unit Maximum aggregate offering price Fee rate Amount of registration fee Equity - Vapotherm, Inc. 2018 Employee |
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| February 27, 2024 |
Exhibit 10.1 Vapotherm, Inc. Amended and Restated 2018 Equity Incentive Plan (Effective February 27, 2024) 1. Defined Terms Exhibit A, which is incorporated by reference, defines certain terms used in the Plan and sets forth operational rules related to those terms. 2. Purpose The Plan is intended to advance the interests of the Company by providing for the grant to Participants of Stock and Stock |
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| February 27, 2024 |
Vapotherm, Inc. Amended and Restated 2018 Equity Incentive Plan (filed herewith). Exhibit 99.2 VAPOTHERM, INC. AMENDED AND RESTATED 2018 EQUITY INCENTIVE PLAN (Effective February 27, 2024) 1. DEFINED TERMS Exhibit A, which is incorporated by reference, defines certain terms used in the Plan and sets forth operational rules related to those terms. 2. PURPOSE The Plan is intended to advance the interests of the Company by providing for the grant to Participants of Stock and Stock |
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| February 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2024 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-38740 Vapotherm, Inc |
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| February 22, 2024 |
Exhibit 10.13 AMENDMENT No. 6 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT No. 6 TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of February 21, 2024, is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the “Borrower”), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corporation with an office located |
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| February 22, 2024 |
Exhibit 97.1 Vapotherm, Inc. Clawback Policy This Vapotherm, Inc. Clawback Policy (this “Policy”) was approved effective as of October 2, 2023 (the “Effective Date”) by the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of Vapotherm, Inc. (the “Company”). This Policy is adopted pursuant to and intended to comply with Section 303A.14 of the New York Stock Exchange |
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| February 22, 2024 |
Vapotherm Reports Fourth Quarter and Fiscal Year 2023 Financial Results Exhibit 99.1 Vapotherm Reports Fourth Quarter and Fiscal Year 2023 Financial Results EXETER, N.H., February 22, 2024 /PRNewswire/ - Vapotherm, Inc. (OTCQX: VAPO), (“Vapotherm” or the “Company”), today announced fourth quarter and fiscal year 2023 financial results and related highlights. Fourth Quarter 2023 Financial Results and Related Highlights • Net revenue for the fourth quarter of 2023 was $ |
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| February 22, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2024 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 22, 2024 |
Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State or Other Jurisdiction of Incorporation or Organization Direct/Indirect Ownership Interest Names Under Which Subsidiary Does Business HGE Health Care Solutions, LLC Delaware 100% Vapotherm Access Vapotherm UK Ltd. (formerly Solus Medical Limited) Scotland 100% Same as Subsidiary Name Vapotherm Access Care Management Network, LLC D |
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| February 22, 2024 |
Exhibit 4.9 VAPOTHERM, INC. DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Vapotherm, Inc., a Delaware corporation (referred to as the Company, we, us and our), has only one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: common stock, $0.001 par value per share (common stock). The following des |
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| February 15, 2024 |
VAPO / Vapotherm, Inc. / Kent Lake Capital LLC - VAPO 13G Passive Investment SC 13G/A 1 vapo13gv1.htm VAPO 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 922107305 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 14, 2024 |
Joint Filing Statement Pursuant to Rule 13d-1(k)(1) EX-1 2 ex-1.htm CUSIP No.: 922107107 Exhibit 1 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G under the Securities Exchange Act of 1934, as amended, with respect to the Common Stock, $0.001 par value per share of Vapotherm, Inc. beneficially owned by them, together with any or all amendments thereto, when and if appr |
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| February 14, 2024 |
VAPO / Vapotherm, Inc. / Parian Global Management LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2024 |
VAPO / Vapotherm, Inc. / Crow's Nest Holdings LP Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vapotherm, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 922107107 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| February 14, 2024 |
Joint Filing Statement Pursuant to Rule 13d-1(k)(1) EX-1 2 ex1.htm Exhibit 1 CUSIP No.: 922107107 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G under the Securities Exchange Act of 1934, as amended, with respect to the Common Stock, par value $0.001 per share of Vapotherm, Inc. beneficially owned by them, together with any or all amendments thereto, when and if appro |
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| February 14, 2024 |
VAPO / Vapotherm, Inc. / Roystone Capital Management LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 8, 2024 |
VAPO / Vapotherm, Inc. / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment SC 13G/A 1 VAPOSC13GA2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 2) VAPOTHERM, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 922107305 (CUSIP Number) DECEMBER 31, 2023 (Date of event which requires filing of this statement) Check the appropriate bo |
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| December 18, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange ("NYSE" or the "Exchange") hereby notifies the Securities and Exchange Commission (the "Commission") of its intention to remove the entire class of Common Stock of Vapotherm, Inc (the "Company") from listing and registration on the Exchange on December 29, 2023, pursuant to the provisions of Rule 12d2-2(b) because, in the opinion of the Exchange, the Common Stock is no longer suitable for continued listing and trading on the NYSE. |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| December 15, 2023 |
Exhibit 99.1 Vapotherm Announces Suspension of NYSE Listing Common Stock Expected to Begin Trading Promptly on OTCQX EXETER, N.H.—December 14, 2023 /PRNewswire/ - Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”) today announced it has received notice that the New York Stock Exchange (“NYSE”) has determined to suspend trading of – and commence proceedings to delist – shares of the Compa |
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| December 11, 2023 |
Exhibit 99.1 Vapotherm Announces Notification to New York Stock Exchange of Intention to Voluntarily Delist Common Stock Application Pending to Transfer Shares to OTCQX EXETER, N.H.—December 11, 2023 /PRNewswire/ - Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”) today announced its intention to voluntarily delist its common stock from The New York Stock Exchange (“NYSE”) and its filin |
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| December 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 07, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| November 8, 2023 |
Vapotherm Reports Third Quarter 2023 Financial Results Exhibit 99.1 Vapotherm Reports Third Quarter 2023 Financial Results EXETER, N.H., November 8, 2023 /PRNewswire/ - Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), today announced third quarter 2023 financial results and related highlights. Third Quarter 2023 Financial Results and Related Highlights • Net revenue for the third quarter of 2023 was $15.2 million, an increase of 12.0% as |
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| November 8, 2023 |
Exhibit 10.1 PROTOCOLE D’ACCORD TRANSACTIONNEL Translation for Information Purposes Only ENTRE LES SOUSSIGNES: BETWEEN THE UNDERSIGNED: Vapotherm, Inc., société de droit américain, dont le siège social est situé au 100 Domain Drive, Exeter, NH 03833, Etats-Unis, dont le numéro SIRET est le 818 620 650 00015, représentée par Monsieur Joseph F. Army, en sa qualité de Président et CEO, Vapotherm, Inc |
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| November 8, 2023 |
Exhibit 4.1 FINAL THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.5 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COMP |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 08, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38740 Vapot |
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| November 2, 2023 |
VAPO / Vapotherm Inc / Kent Lake Capital LLC - VAPOTHERM 13G Passive Investment SC 13G 1 vapo13g.htm VAPOTHERM 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 922107305 (CUSIP Number) October 23, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 20, 2023 |
VAPO / Vapotherm Inc / Army Joseph - SC 13D/A Activist Investment SC 13D/A 1 d520472dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 Par Value (Title of Class of Securities) 922107 10 7 (CUSIP Number) Joseph F. Army President and Chief Executive Officer Vapotherm, Inc. 100 Domain Drive Exeter, |
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| August 17, 2023 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE TENTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF VAPOTHERM, INC. Vapotherm, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: That the name of the Corporation is Vapotherm, Inc. and that the Corporation filed its Certificate of Incorporat |
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| August 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 17, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38740 Vapotherm, |
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| August 8, 2023 |
Vapotherm Reports Second Quarter 2023 Financial Results Exhibit 99.1 Vapotherm Reports Second Quarter 2023 Financial Results EXETER, N.H.-(BUSINESS WIRE)-Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), today announced second quarter 2023 financial results. Second Quarter 2023 Summary and Highlights • Net revenue for the second quarter of 2023 was $16.0 million, an increase of 23.6% as compared to the second quarter of 2022 o Disposables r |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 08, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| May 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Vapotherm, Inc. (Exact name of the registrant as specified in its charter) Delaware 001-38740 (State or other jurisdiction of incorporation) (Commission file number) 100 Domain Drive Exeter, NH 03833 (Address of principal executive offices) (Zip code) James A. Lightman Senior Vice Presiden |
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| May 24, 2023 |
Exhibit 1.01 to Form SD VAPOTHERM, INC. Conflict Minerals Report For the Reporting Period from January 1, 2022 to December 31, 2022 This Conflict Minerals Report (“CMR”) has been prepared by Vapotherm, Inc. (the “Company,” “we,” “our” and “us”) for the reporting period from January 1, 2022 to December 31, 2022. This CMR is being filed as an exhibit to the Company’s Specialized Report on Form SD (“ |
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| May 5, 2023 |
424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-270331 PROSPECTUS VAPOTHERM, INC. 17,502,244 Shares of Common Stock Pre-Funded Warrants to Purchase 4,402,508 Shares of Common Stock Warrants to Purchase 21,904,752 Shares of Common Stock This prospectus relates to the resale or other disposition from time to time of up to (i) 17,502,244 shares of our common stock, par v |
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| May 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38740 Vapotherm |
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| May 3, 2023 |
Vapotherm Reports First Quarter 2023 Financial Results Exhibit 99.1 Vapotherm Reports First Quarter 2023 Financial Results EXETER, N.H.-(BUSINESS WIRE)-Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), today announced first quarter 2023 financial results. First Quarter 2023 Summary and Highlights • Total revenue for the first quarter of 2023 was $17.7 million o Capital revenue increased by 28% as compared to the fourth quarter of 2022 due |
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| May 3, 2023 |
VAPOTHERM, INC. 100 Domain Drive Exeter, New Hampshire 03833 (603) 658-0011 CORRESP VAPOTHERM, INC. 100 Domain Drive Exeter, New Hampshire 03833 (603) 658-0011 May 3, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 RE: Vapotherm, Inc. Registration Statement on Form S-3 (File No. 333-270331) Request for Acceleration Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities A |
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| May 3, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VAPOTHERM, INC. (Exact name of registrant as specified in its charter) Delaware 46-2259298 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 100 Domain Drive Exeter, New Hampsh |
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| May 3, 2023 |
Exhibit 10.3 Execution Version AMENDMENT No. 5 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT No. 5 TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of April 17, 2023, is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the “Borrower”), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corporation with an o |
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| May 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 03, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 1, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 1, 2023 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 11, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitte |
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| March 17, 2023 |
Vapotherm Announces NYSE Continued Listing Standard Notice Related to Stock Price Exhibit 99.1 Vapotherm Announces NYSE Continued Listing Standard Notice Related to Stock Price EXETER, N.H.-(BUSINESS WIRE)-Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), a global medical technology company focused on the development and commercialization of its proprietary Vapotherm high velocity therapy® products, which are used to treat patients of all ages suffering from respira |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| March 7, 2023 |
Power of Attorney (included on signature page) S-3 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 7, 2023 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Vapotherm, Inc. |
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| February 24, 2023 |
Filing Fee Table (filed herewith). EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Vapotherm, Inc. |
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| February 24, 2023 |
As filed with the Securities and Exchange Commission on February 24, 2023 S-8 As filed with the Securities and Exchange Commission on February 24, 2023 Registration No. |
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| February 23, 2023 |
Exhibit 10.40 SEPARATION PAY AGREEMENT THIS SEPARATION PAY AGREEMENT (“Agreement”), dated as of March 24, 2022 (the “Effective Date”) is made by and between VAPOTHERM, INC., a Delaware corporation (the “Company”), on behalf of itself and one or more of its Affiliates, and BRIAN LAWRENCE (the “Executive”). WHEREAS, the Company or one of its Affiliates employs the Executive as Senior Vice President |
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| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 23, 2023 |
Subsidiaries of Vapotherm, Inc. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State or Other Jurisdiction of Incorporation or Organization Direct/Indirect Ownership Interest Names Under Which Subsidiary Does Business HGE Health Care Solutions, LLC Delaware 100% Vapotherm Access Vapotherm UK Ltd. (formerly Solus Medical Limited) Scotland 100% Same as Subsidiary Name Vapotherm Access Care Management Network, LLC D |
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| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-38740 Vapotherm, Inc |
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| February 23, 2023 |
Exhibit 10.41 November 15, 2021 Dear Brian, Our team at Vapotherm, Inc. is pleased to invite you to join our organization in the position of Sr VP & CTO effective December 6, 2021 in accordance with the terms outlined in this offer of employment and related Attachments.1 The position will be based at headquarters with reporting responsibility to the CEO. Compensation for 2021 and terms of acceptan |
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| February 23, 2023 |
Vapotherm Reports Fourth Quarter and Fiscal Year 2022 Financial Results Exhibit 99.1 Vapotherm Reports Fourth Quarter and Fiscal Year 2022 Financial Results EXETER, New Hampshire, February 23, 2023 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), today announced fourth quarter and fiscal year 2022 financial results. Fourth Quarter 2022 Summary • Total revenue for the fourth quarter of 2022 was $18.7 million • Gross margin was 27.5% in |
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| February 17, 2023 |
VAPO / Vapotherm Inc / Roystone Capital Management LP Passive Investment SC 13G 1 d995456613-g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 922107107 (CUSIP Number) February 8, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| February 16, 2023 |
Exhibit 10.1 Execution Version AMENDMENT No. 4 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT No. 4 TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of February 10, 2023, is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the “Borrower”), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corporation with a |
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| February 16, 2023 |
Exhibit 10.2 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.5 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COMPANY, |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 14, 2023 |
VAPO / Vapotherm Inc / Crow's Nest Holdings LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2023 |
VAPO / Vapotherm Inc / Hound Partners, LLC Passive Investment SC 13G/A 1 d994019213g-a.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3) Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 922107107 (CUSIP Number |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 08, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 14, 2023 |
Exhibit 3.1 VAPOTHERM, INC. SECOND AMENDED AND RESTATED BYLAWS (Effective February 8, 2023) SECTION 1—STOCKHOLDERS Section 1.1. Annual Meeting. An annual meeting of the stockholders of Vapotherm, Inc., a Delaware corporation (the “Corporation”), for the election of directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting s |
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| February 14, 2023 |
Joint Filing Statement Pursuant to Rule 13d-1(k)(1) Exhibit 1 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G under the Securities Exchange Act of 1934, as amended, with respect to the Common Stock, par value $0. |
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| February 13, 2023 |
Joint Filing Statement Pursuant to Rule 13d-1(k)(1) EX-1 2 ex1.htm CUSIP No.: 922107107 Exhibit 1 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G under the Securities Exchange Act of 1934, as amended, with respect to the Common Stock, par value $0.001 per share of Vapotherm, Inc. beneficially owned by them, together with any or all amendments thereto, when and if appro |
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| February 13, 2023 |
VAPO / Vapotherm Inc / Parian Global Management LP Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Vapotherm, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 922107107 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| February 10, 2023 |
VAPOTHERM, INC. 100 Domain Drive Exeter, New Hampshire 03833 CORRESP 1 filename1.htm VAPOTHERM, INC. 100 Domain Drive Exeter, New Hampshire 03833 February 10, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F. Street, N.E. Washington, D.C. 20549 Attention: Jordan Nimitz Re: Vapotherm, Inc. Registration Statement on Form S-3 (File No. 333-269561) Request for Acceleration Ladies and Gentlemen: Purs |
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| February 10, 2023 |
VAPO / Vapotherm Inc / Artisan Partners Limited Partnership - SC 13G/A Passive Investment SC 13G/A 1 d432344dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to Rule 13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to Rule 13d-2. Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vapotherm, Inc. (Name of Issuer) Common Stock (Title of Class of Securities |
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| February 8, 2023 |
Vapotherm Announces $23 Million Private Placement Exhibit 99.1 Vapotherm Announces $23 Million Private Placement EXETER, New Hampshire, February 8, 2023 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), a global medical technology company focused on the development and commercialization of its proprietary Vapotherm high velocity therapy® products, which are used to treat patients of all ages suffering from respirat |
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| February 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 08, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 8, 2023 |
Vapotherm Reports Preliminary Fourth Quarter and Full Year 2022 Results and Year-End Cash Balance Exhibit 99.1 Vapotherm Reports Preliminary Fourth Quarter and Full Year 2022 Results and Year-End Cash Balance EXETER, New Hampshire, February 8, 2023 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), a global medical technology company focused on the development and commercialization of its proprietary Vapotherm high velocity therapy® products, which are used to tr |
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| February 8, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 7, 2023, among Vapotherm, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each a “Purchaser” and collectively the “Purchasers”). WHEREAS, the Company and the Purchasers are executing and delivering this Agreement in reli |
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| February 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 07, 2023 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 8, 2023 |
Exhibit 4.1 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTION 5.3 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM AND SUBSTANCE SATISF |
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| February 8, 2023 |
Exhibit 4.2 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTION 5.3 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM AND SUBSTANCE SATISF |
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| February 3, 2023 |
Filing Fee Table (filed herewith) EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Vapotherm, Inc. |
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| February 3, 2023 |
As filed with the Securities and Exchange Commission on February 3, 2023 S-3 Table of Contents As filed with the Securities and Exchange Commission on February 3, 2023 Registration No. |
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| January 24, 2023 |
VAPO / Vapotherm Inc / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment SC 13G/A 1 VAPOSC13GA2023.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 1) VAPOTHERM, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 922107107 (CUSIP Number) DECEMBER 31, 2022 (Date of event which requires filing of this statement) Check the appropriate |
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| December 8, 2022 |
VAPO / Vapotherm Inc / Army Joseph - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 Par Value (Title of Class of Securities) 922107 10 7 (CUSIP Number) Joseph F. Army President and Chief Executive Officer Vapotherm, Inc. 100 Domain Drive Exeter, New Hampshire 03833 (603) 658-0011 (Nam |
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| December 6, 2022 |
Vapotherm Announces NYSE Continued Listing Standard Notice Related to Stock Price Exhibit 99.1 Vapotherm Announces NYSE Continued Listing Standard Notice Related to Stock Price EXETER, New Hampshire, December 6, 2022 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (“Vapotherm” or the “Company”), a global medical technology company focused on the development and commercialization of its proprietary Vapotherm high velocity therapy® products, which are used to treat patients of |
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| December 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| December 1, 2022 |
VAPO / Vapotherm Inc / Prescott General Partners LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Vapotherm, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 922107107 (CUSIP Number) November 21, 2022 (Date of Event which Requires filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| November 22, 2022 |
Vapotherm Announces Amendment to Debt Agreement Exhibit 99.1 Vapotherm Announces Amendment to Debt Agreement ? 2023 Revenue Covenant tied to percentage of Company?s annual operating plan and substantially waived if Company raises $15 million of new funding ? Liquidity Covenant reduced to $5 Million ? Option to pay a portion of loan interest ?in kind? to provide additional flexibility EXETER, New Hampshire, November 22, 2022 / Business Wire / ? |
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| November 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| November 22, 2022 |
Exhibit 10.1 Execution Version AMENDMENT NO. 3 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT NO. 3 TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of November 22, 2022, is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the ?Borrower?), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corporation with a |
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| November 22, 2022 |
Exhibit 10.2 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.5 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COMPANY, |
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| November 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 02, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| November 2, 2022 |
Vapotherm Reports Third Quarter 2022 Financial Results Vapotherm Reports Third Quarter 2022 Financial Results EXETER, New Hampshire, November 2, 2022 / Business Wire / - Vapotherm, Inc. |
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| November 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38740 Vapot |
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| October 6, 2022 |
VAPO / Vapotherm Inc / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 VAPOTHERM, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 922107107 (CUSIP Number) SEPTEMBER 30, 2022 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which th |
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| October 3, 2022 |
Exhibit 10.2 FINAL THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.5 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COM |
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| October 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| October 3, 2022 |
Vapotherm Announces Debt Amendment and NYSE Continued Listing Standard Notice Exhibit 99.1 Vapotherm Announces Debt Amendment and NYSE Continued Listing Standard Notice EXETER, New Hampshire, October 3, 2022 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (?Vapotherm? or the ?Company?), a global medical technology company focused on the development and commercialization of its proprietary Vapotherm high velocity therapy? products, which are used to treat patients of all a |
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| October 3, 2022 |
Exhibit 10.1 AMENDMENT No. 2 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT No. 2 TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of September 30, 2022, is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the ?Borrower?), the other Loan Parties party hereto, SLR Investment Corp., a Maryland corporation with an office located |
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| August 3, 2022 |
Exhibit 10.7 AMENDMENT No. 1 TO LOAN AND SECURITY AGREEMENT THIS AMENDMENT No. 1 TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of August 1, 2022, is made among Vapotherm, Inc., a Delaware corporation with offices located at 100 Domain Drive, Exeter, NH 03833 (the ?Borrower?), SLR Investment Corp., a Maryland corporation with an office located at 500 Park Avenue, 3rd Floor, New York, |
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| August 3, 2022 |
Costs Associated with Exit or Disposal Activities UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| August 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 03, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| August 3, 2022 |
Vapotherm Reports Second Quarter 2022 Financial Results Vapotherm Reports Second Quarter 2022 Financial Results EXETER, New Hampshire, August 3, 2022 / Business Wire / - Vapotherm, Inc. |
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| August 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38740 Vapotherm, |
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| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 08, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| July 11, 2022 |
CONTRATO DE ARRENDAMIENTO (EL ?CONTRATO?) QUE CELEBRAN, POR UNA PARTE FRACCIONADORA RESIDENCIAL HACIENDA AGUA CALIENTE, S. |
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| July 11, 2022 |
Anexo ?E? CONVENIO DE GARANTIA ABSOLUTA E INCONDICIONAL CONOZCAN TODOS LOS HOMBRES POR ESTA COMPARECENCIA: Que, Este Convenio de Garant?a Absoluta e Incondicional (la ?Garant?a?), se celebra y se entrega este 24 de Junio de 2022, por y entre FRACCIONADORA RESIDENCIAL HACIENDA AGUA CALIENTE, S. |
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| June 22, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| June 3, 2022 |
[PORTIONS HEREIN IDENTIFIED BY [***] HAVE BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE THE EXCLUDED INFORMATION IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. |
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| June 3, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 27, 2022 |
EX-1.01 2 d299909dex101.htm EX-1.01 Exhibit 1.01 to Form SD VAPOTHERM, INC. Conflict Minerals Report For the Reporting Period from January 1, 2021 to December 31, 2021 This Conflict Minerals Report (“CMR”) has been prepared by Vapotherm, Inc. (the “Company,” “we,” “our” and “us”) for the reporting period from January 1, 2021 to December 31, 2021. This CMR is being filed as an exhibit to the Compan |
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| May 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Vapotherm, Inc. (Exact name of the registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-38740 (Commission file number) 100 Domain Drive Exeter, NH (Address of principal executive offices) 03833 (Zip code) James A. Lightman Senior Vice Presiden |
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| May 4, 2022 |
Exhibit 99.1 Vapotherm Reports First Quarter 2022 Financial Results Revenue of $21.6 Million In-Line with Preliminary Revenue of $20.5 Million to $21.5 Million EXETER, New Hampshire, May 4, 2022 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (?Vapotherm? or the ?Company?), today announced first quarter 2022 financial results. First Quarter 2022 Summary ? Total revenue for the first quarter of 2 |
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| May 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 04, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38740 Vapotherm |
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| April 29, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission On |
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| April 29, 2022 |
DEFA14A 1 d309030ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Prox |
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| April 12, 2022 |
SEPARATION PAY AGREEMENT THIS SEPARATION PAY AGREEMENT (?Agreement?), dated as of March 24, 2022 (the ?Effective Date?) is made by and between VAPOTHERM, INC. |
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| April 12, 2022 |
SEPARATION PAY AGREEMENT THIS SEPARATION PAY AGREEMENT (?Agreement?), dated as of March 24, 2022 (the ?Effective Date?) is made by and between VAPOTHERM, INC. |
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| April 12, 2022 |
SEPARATION PAY AGREEMENT THIS SEPARATION PAY AGREEMENT (?Agreement?), dated as of March 24, 2022 (the ?Effective Date?) is made by and between VAPOTHERM, INC. |
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| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| April 6, 2022 |
Vapotherm Announces Preliminary Revenue for First Quarter of 2022 and Withdraws 2022 Annual Guidance Vapotherm Announces Preliminary Revenue for First Quarter of 2022 and Withdraws 2022 Annual Guidance EXETER, New Hampshire, April 6, 2022 / Business Wire / - Vapotherm, Inc. |
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| April 6, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 06, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| February 24, 2022 |
Exhibit 10.21 Participant Name: Number of Restricted Stock Units subject to Award: Date of Grant: Vapotherm, Inc. 2018 Equity Incentive Plan Restricted Stock Unit Award Agreement This agreement (this ?Agreement?) evidences an award (the ?Award?) of restricted stock units granted by Vapotherm, Inc. (the ?Company?) to the individual named above (the ?Participant?), pursuant to and subject to the ter |
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| February 24, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 24, 2022 |
Exhibit 4.9 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Vapotherm, Inc. (the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): common stock, $0.001 par value per share (?Common Stock?). Description of Capital Stock The following descripti |
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| February 24, 2022 |
As filed with the Securities and Exchange Commission on February 24, 2022 As filed with the Securities and Exchange Commission on February 24, 2022 Registration No. |
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| February 24, 2022 |
Exhibit 99.1 Vapotherm Reports Fourth Quarter and Fiscal Year 2021 Financial Results 2021 Revenue of $113.3 Million Reflects Two-Year Compounded Annual Growth Rate of 53% Results in Line with Preliminary Revenue of $112.8 Million Worldwide Installed Base of Precision Flow Hi-VNI? Systems Now 35,200 New Debt Facility Provides Up To $75 Million of Incremental Cash EXETER, New Hampshire, February 24, |
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| February 24, 2022 |
Filing Fee Table (filed herewith). Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Vapotherm, Inc. (Exact name of registrant as specified in its charter) Table 1: Newly Registered Securities Security type Security class title Fee calculation rule Amount registered(1) Proposed maximum offering price per unit Maximum aggregate offering price Fee rate Amount of registration fee Equity - Vapotherm, Inc. 2018 Employee |
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| February 24, 2022 |
Exhibit 10.7 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT This First Amendment to Loan and Security Agreement (this ?Amendment?) is entered as of December 1, 2021, by and among Canadian Imperial Bank of Commerce (?Bank?) and VAPOTHERM, INC., a Delaware corporation (?Borrower Representative?), HGE HEALTH CARE SOLUTIONS, llc, a Delaware limited liability company (?HGE?, and together with Borrower |
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| February 24, 2022 |
Exhibit 10.28 CONFIDENTIALITY, NON-COMPETE AND ASSIGNMENT OF INVENTIONS AGREEMENT This CONFIDENTIALITY, NON-COMPETE AND ASSIGNMENT OF INVENTIONS AGREEMENT (?Agreement?) is between Vapotherm, Inc., a Delaware corporation with a principal place of business at 100 Domain Drive, Exeter, NH 03833 (the ?Company?) and (?Employee?). In consideration of the Employee?s employment or continued employment by |
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| February 24, 2022 |
Exhibit 10.8 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (as the same may be amended, restated, amended and restated, modified, or supplemented from time to time, this ?Agreement?) dated as of February 18, 2022 (the ?Effective Date?) among SLR Investment Corp., a Maryland corporation with an office located at 500 Park Avenue, 3rd Floor, New York, NY 10022 (?SLR?), as collateral ag |
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| February 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-38740 Vapotherm, Inc |
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| February 24, 2022 |
Subsidiaries of Vapotherm, Inc. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State or Other Jurisdiction of Incorporation or Organization Direct/Indirect Ownership Interest Names Under Which Subsidiary Does Business HGE Health Care Solutions, LLC Delaware 100% Vapotherm Access Solus Medical Limited Scotland 100% Same as Subsidiary Name Vapotherm Access Care Management Network, LLC Delaware 100% Vapotherm Access |
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| February 24, 2022 |
Exhibit 4.8 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.5 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COMPANY, S |
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| February 14, 2022 |
Joint Filing Statement Pursuant to Rule 13d-1(k)(1) Exhibit 1 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G under the Securities Exchange Act of 1934, as amended, with respect to the Common Stock, par value $0. |
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| February 14, 2022 |
VAPO / Vapotherm Inc / Prescott General Partners LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Vapotherm, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 922107107 (CUSIP Number) December 31, 2021 (Date of Event which Requires filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 14, 2022 |
VAPO / Vapotherm Inc / Hound Partners LP Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 14, 2022 |
VAPO / Vapotherm Inc / Crow's Nest Holdings LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 9, 2022 |
VAPO / Vapotherm Inc / Parian Global Management LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 12, 2022 |
Vapotherm Reports Preliminary Fourth Quarter and Full Year 2021 Revenue Results Exhibit 99.1 Vapotherm Reports Preliminary Fourth Quarter and Full Year 2021 Revenue Results EXETER, New Hampshire, January 12, 2022 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (?Vapotherm? or the ?Company?), a global medical technology company focused on the development and commercialization of its innovative, comfortable, non-invasive technologies for respiratory support of patients with c |
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| January 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2022 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| January 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 1, 2022 VAPOTHERM, INC. (Exact name of registrant as specified in its charter) Delaware 001-38740 46-2259298 (State or other jurisdiction of incorporation) (Commission File Nu |
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| January 4, 2022 |
Exhibit 10.1 Participant Name: Date of Grant: Target Potential Payout: Maximum Potential Payout: Stretch Potential Payout: Threshold Potential Payout: Performance Period Performance Goal(s): See Exhibit A VAPOTHERM, INC. 2018 EQUITY INCENTIVE PLAN PERFORMANCE STOCK UNIT AWARD AGREEMENT This Performance Stock Unit Award Agreement (this ?Agreement?) evidences a Performance Award, in the form of perf |
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| December 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2021 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2021 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38740 Vapot |
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| November 3, 2021 |
Exhibit 99.1 Vapotherm Reports Third Quarter 2021 Financial Results Disposables revenue increased 66.2% over the third quarter of 2020 EXETER, New Hampshire, November 3, 2021 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (?Vapotherm? or the ?Company?), a global medical technology company, today announced third quarter 2021 financial results. Third Quarter 2021 Summary ? Total revenue for the t |
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| September 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 21, 2021 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38740 Vapotherm, |
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| August 9, 2021 |
Vapotherm Reports Second Quarter 2021 Financial Results Vapotherm Reports Second Quarter 2021 Financial Results EXETER, New Hampshire, August 9, 2021 / Business Wire / - Vapotherm, Inc. |
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| August 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2021 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| June 24, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2021 VAPOTHERM, INC. (Exact name of registrant as specified in its charter) Delaware 001-38740 46-2259298 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 27, 2021 |
Exhibit 1.01 to Form SD VAPOTHERM, INC. Conflict Minerals Report For the Reporting Period January 1, 2020 to December 31, 2020 This Conflict Minerals Report (?CMR?) has been prepared by Vapotherm, Inc. (the ?Company,? ?we,? ?our? and ?us?) for the reporting period January 1, 2020 to December 31, 2020. This CMR is being filed as an exhibit to the Company?s Specialized Report on Form SD (?Form SD?) |
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| May 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report Vapotherm, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38740 46-2259298 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 100 Domain Drive Exeter, NH 03833 (Address of principal executive o |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38740 Vapotherm |
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| May 5, 2021 |
Exhibit 10.1 Vapotherm, Inc. Amended and Restated 2018 Equity Incentive Plan 1.Defined Terms Exhibit A, which is incorporated by reference, defines certain terms used in the Plan and sets forth operational rules related to those terms. 2.Purpose The Plan is intended to advance the interests of the Company by providing for the grant to Participants of Stock and Stock-based Awards. The purposes of t |
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| May 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 5, 2021 |
Vapotherm Reports First Quarter 2021 Financial Results First Quarter 2021 Revenue of $32. |
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| April 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| February 26, 2021 |
As filed with the Securities and Exchange Commission on February 26, 2021 Registration No. |
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| February 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-38740 Vapotherm, Inc |
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| February 24, 2021 |
Exhibit 99.1 Vapotherm Reports Fourth Quarter and Fiscal Year 2020 Financial Results 2020 Revenue of $125.7 Million Reflects 161.4% Increase Over Prior Year Results in Line with Preliminary Revenue of $125.4 Million Worldwide Installed Base of Precision Flow Hi-VNI? Systems Grew by 72.8% in 2020 EXETER, New Hampshire, February 24, 2021 / Business Wire / - Vapotherm, Inc. (NYSE: VAPO), (?Vapotherm? |
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| February 24, 2021 |
Subsidiaries of Vapotherm, Inc. Exhibit 21.1 List of Vapotherm, Inc.?s Subsidiaries 1. Solus Medical Limited, incorporated in Scotland, a wholly owned subsidiary. 2. HGE Health Care Solutions, LLC, incorporated in the State of Delaware, a wholly owned subsidiary. |
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| February 24, 2021 |
Description of Securities of Vapotherm, Inc. Exhibit 4.9 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Vapotherm, Inc. (the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?). Description of Capital Stock The following description of the Company?s capital stock is a summary and does not |
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| February 24, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2021 Vapotherm, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38740 46-2259298 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 16, 2021 |
EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 16, 2021 PERCEPTIVE ADVISORS LLC |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Vapotherm, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 922107 107 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
