0000919574-23-001766.txt : 20230217
0000919574-23-001766.hdr.sgml : 20230217
20230217133417
ACCESSION NUMBER: 0000919574-23-001766
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230208
FILED AS OF DATE: 20230217
DATE AS OF CHANGE: 20230217
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Roystone Capital Management LP
CENTRAL INDEX KEY: 0001582271
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1213
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38740
FILM NUMBER: 23641606
BUSINESS ADDRESS:
STREET 1: 780 THIRD AVENUE, 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-326-6010
MAIL ADDRESS:
STREET 1: 780 THIRD AVENUE, 41ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Roystone Capital Holdings LLC
CENTRAL INDEX KEY: 0001966081
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38740
FILM NUMBER: 23641605
BUSINESS ADDRESS:
STREET 1: 767 THIRD AVENUE
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-326-6030
MAIL ADDRESS:
STREET 1: 767 THIRD AVENUE
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Barrera Richard R
CENTRAL INDEX KEY: 0001773204
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38740
FILM NUMBER: 23641604
MAIL ADDRESS:
STREET 1: 767 THIRD AVENUE
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: VAPOTHERM INC
CENTRAL INDEX KEY: 0001253176
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 462259298
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
3
1
ownership.xml
X0206
3
2023-02-08
0
0001253176
VAPOTHERM INC
VAPO
0001582271
Roystone Capital Management LP
767 THIRD AVENUE
29TH FLOOR
NEW YORK
NY
10017
0
0
1
0
0001966081
Roystone Capital Holdings LLC
767 THIRD AVENUE
29TH FLOOR
NEW YORK
NY
10017
0
0
1
0
0001773204
Barrera Richard R
767 THIRD AVENUE
29TH FLOOR
NEW YORK
NY
10017
0
0
1
0
Common Stock, $0.001 par value per share
2380952
I
See Footnote
Common Stock, $0.001 par value per share
418591
I
See Footnote
Warrant
1.17
2023-02-10
2028-02-10
Common Stock, $0.001 par value per share
2380952
I
See Footnote
The reported securities and warrants are owned directly by Guines LLC ("Guines") and may be deemed to be indirectly beneficially owned by (i) Roystone Capital Management LP ("Roystone"), the investment adviser to Guines (ii) Roystone Capital Holdings LLC ("Holdings"), the general partner of Roystone and (iii) Richard Barrera, the managing member of Holdings. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
The reported securities are owned directly by Roystone Capital Master Fund Ltd. (the "Master Fund") and may be deemed to be indirectly beneficially owned by (i) Roystone, the investment adviser to the Master Fund (ii) Holdings, the general partner of Roystone and (iii) Richard Barrera, the managing member of Holdings. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
The reported warrants are each exercisable for one share of Common Stock, $0.001 par value per share. The foregoing description of the warrants does not purport to be complete and is subject to and qualified in its entirety by reference to the Form of Warrant, incorporated as Exhibit 4.2 to the Issuer's 8-K filed on February 8, 2023, which is incorporated by reference.
Roystone Capital Management LP By: Roystone Capital Holdings LLC, its general partner By: /s/ Laura Roche
2023-02-17
Roystone Capital Holdings LLC, By: /s/ Richard Barrera, Managing Member
2023-02-17
By: /s/ Richard Barrera
2023-02-17