0001235802-21-000026.txt : 20210427 0001235802-21-000026.hdr.sgml : 20210427 20210427170717 ACCESSION NUMBER: 0001235802-21-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210120 FILED AS OF DATE: 20210427 DATE AS OF CHANGE: 20210427 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Army Joseph CENTRAL INDEX KEY: 0001435005 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38740 FILM NUMBER: 21859959 MAIL ADDRESS: STREET 1: ONE WASHINGTON CENTER, SUITE 400 CITY: DOVER STATE: NH ZIP: 03820 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VAPOTHERM INC CENTRAL INDEX KEY: 0001253176 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 DOMAIN DRIVE CITY: EXETER STATE: NH ZIP: 03833 BUSINESS PHONE: 603-658-0411 MAIL ADDRESS: STREET 1: 100 DOMAIN DRIVE CITY: EXETER STATE: NH ZIP: 03833 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2021-01-20 0 0001253176 VAPOTHERM INC VAPO 0001435005 Army Joseph 100 DOMAIN DRIVE EXETER NH 03833 1 1 0 0 President and CEO Common Stock 709921 D Common Stock 500 I By spouse Employee Stock Option (right to buy) 12.16 2021-01-20 4 J 0 60267 0 A 2030-01-01 Common Stock 60267 60267 D Includes 27,700 shares that will be issued over time upon vesting pursuant to restricted stock units granted under the Vapotherm, Inc. 2018 Equity Incentive Plan. These shares will be issued over time upon vesting pursuant to a restricted stock unit granted to the Reporting Person's spouse under the Vapotherm, Inc. 2018 Equity Incentive Plan. On January 1, 2020, the Reporting Person was granted a performance-based option under the Vapotherm, Inc. 2018 Equity Incentive Plan, the actual number of underlying shares of which was not ascertainable until determined by the Issuer's Compensation Committee after completion of the one-year performance period based on the Issuer's achievement of certain pre-determined performance goals for the year ended December 31, 2020. Once vested based on performance, the stock option would then be subject to additional time-based vesting. On January 20, 2021, the Issuer's Compensation Committee determined based on 2020 performance that the performance goals were achieved at a 100% level, resulting in an option to purchase a total of 60,267 shares for the Reporting Person, with the first 25% tranche vesting on that day and the remaining 75% to vest in 36 nearly equal monthly installments thereafter, provided the Reporting Person continues to serve as an employee or other service provider to the Issuer through the applicable vesting date. /s/Adrain Bryant, as Attorney In Fact 2021-04-27