Current Report Filing (8-k)
11 May 2020 - 10:31PM
Edgar (US Regulatory)
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 6, 2020
Vapotherm, Inc.
(Exact
name of Registrant as Specified in Its Charter)
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Delaware
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001-38740
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46-2259298
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(State or Other Jurisdiction
of Incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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100 Domain Drive
Exeter, NH
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03833
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrants Telephone Number, Including Area Code: (603)
658-0011
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions (see General Instructions A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading
Symbol(s)
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Name of each exchange
on which registered
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Common Stock, $0.001 per value per share
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VAPO
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New York Stock Exchange
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of
1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company ☒
If an emerging growth
company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 8.01 Other Events
On May 6, 2020, Vapotherm, Inc. (the Company) entered into an Underwriting Agreement (the Underwriting Agreement)
with BofA Securities, Inc. and William Blair & Company, L.L.C., as representatives of the several underwriters named in Schedule A thereto (the Underwriters) relating to the underwritten offering of 3,350,000 shares (the
Shares) of the Companys common stock, par value $0.001 per share (the Offering). The Underwriters have agreed to purchase the Shares pursuant to the Underwriting Agreement at a price of $26.00 per share. In
addition, the Company granted the Underwriters an option to purchase, at the public offering price less any underwriting discounts and commissions, an additional 502,500 shares of Common Stock, exercisable for 30 days from the date of the
Underwriting Agreement.
The offering is being made pursuant to a shelf registration statement the Company filed with the Securities and
Exchange Commission that became effective on December 30, 2019 (File No. 333-235657) (the Registration Statement) and a related prospectus supplement. The closing of the Offering is
expected to take place on or about May 11, 2020, subject to the satisfaction of customary closing conditions.
A copy of the
Underwriting Agreement is filed as Exhibit 1.1 to this Current Report on Form 8-K.
Ropes & Gray, LLP, counsel to the Company, has issued an opinion to the Company, dated May 11, 2020, regarding the Shares to be
sold in the Offering. A copy of the opinion is filed as Exhibit 5.1 to this Current Report on Form 8-K.
Item 9.01 Financial Statements and Exhibits.
(d)
Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
thereunto duly authorized.
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Vapotherm, Inc.
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Date: May 11, 2020
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By:
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/s/ John Landry
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John Landry
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Vice President & Chief Financial Officer
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