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Original filing (PDF)20251010091134NAL0004453123001
VAPOTHERM, INC.
Form 5500
FILING_RECEIVED
VAPOTHERM, INC. 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
144
Accounts w/ balance
285
Plan assets (EOY)
$21.9M
Net assets (EOY)
$21.9M
How this plan invests
This plan
2 pooled trusts
Schedule D
35 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
89
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
65
Vendor stack
80
Participation health
100
Knocking points off
- 57 bps in Schedule C fees — 97% above peer band of 29 bps.
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for VAPOTHERM, INC..
Plan sponsor
Name
VAPOTHERM, INC.
EIN
46-2259298
Address
100 DOMAIN DRIVE · EXETER, NH · 03833
Phone
(603) 658-0011
Industry
All Other Professional Services· Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-10
Pension benefit codes
2A · Age/service weighted or new comparability
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3F · Sponsor used leased employees
Audit & trust (Schedule H)
Auditor
BOIVIN & ASSOCIATES, CPAS, PLLC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsAdvisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MERRILL LYNCH PIERCE FENNER & SMITH | 13-5674085 | — | CONSULTANT | $59K | — |
TPA / Administrator
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $61K | — |
| THE MANDMARBLESTONE GROUP LLC | 20-4780677 | — | CONTRACT ADMINISTRATOR | $5K | — |
Investments
35 direct securities · 2 pooled funds· $21.6M(98% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$20.5M
35 holdings
Pooled Separate Account
$1.1M
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Nuveen Asset Management Lifecycle 2045 Fund –251,126 shares | — | — | $251K | $3.5M | 16.1% | |
| Nuveen Asset Management Lifecycle 2035 Fund –233,265 shares | — | — | $233K | $2.5M | 11.4% | |
| Nuveen Asset Management Lifecycle 2050 Fund –139,316 shares | — | — | $139K | $2.0M | 9.3% | |
| Nuveen Asset Management Lifecycle 2030 Fund –181,513 shares | — | — | $182K | $1.9M | 8.5% | |
| Nuveen Asset Management Lifecycle 2040 Fund –156,600 shares | — | — | $157K | $1.7M | 7.9% | |
| Vanguard Group 500 Index Admiral Fund –2,994 shares | — | — | $3K | $1.6M | 7.4% | |
| Nuveen Asset Management Lifecycle 2055 Fund –88,158 shares | — | — | $88K | $1.5M | 6.9% | |
| Nuveen Asset Management Lifecycle 2025 Fund –83,833 shares | — | — | $84K | $828K | 3.8% | |
| Company units | — | — | — | $801K | 3.7% | |
| PRIN LIQUID ASSETS SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 024 | Pooled Separate Account | — | — | $801K | 3.7% | |
| Nuveen Asset Management Lifecycle 2060 Fund –47,420 shares | — | — | $47K | $713K | 3.3% | |
| Voya Intermediate Bond Fund –70,508 shares | — | — | $71K | $608K | 2.8% | |
| Vanguard Group Mid Cap Growth Index Admiral Fund – 3,773 shares | — | — | $4K | $412K | 1.9% | |
| Vanguard Group High Yield Corporate Admiral Fund – 68,851 shares | — | — | $69K | $373K | 1.7% | |
| Company units | — | — | — | $254K | 1.2% | |
| PRIN SMCAP S&P 600 INDEX SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 028 | Pooled Separate Account | — | — | $254K | 1.2% | |
| MFS Value Fund –4,265 shares | — | — | $4K | $206K | 0.9% | |
| Vanguard Group Small Cap Value Index Admiral Fund – 2,030 shares | — | — | $2K | $173K | 0.8% | |
| Vanguard Group Inflation Protected Securities Admiral Fund –7,634 shares | — | — | $8K | $172K | 0.8% | |
| Nuveen Asset Management Lifecycle 2020 Fund –17,812 shares | — | — | $18K | $167K | 0.8% | |
| Participant loans 4.25% - 9.50% | — | — | — | $155K | 0.7% | |
| Nuveen Asset Management Lifecycle 2065 Fund –10,485 shares | — | — | $10K | $137K | 0.6% | |
| Janus International Triton Fund –4,660 shares | — | — | $5K | $128K | 0.6% | |
| Vanguard Group Intermediate Term Bond Index Admiral Fund –10,544 shares | — | — | $11K | $107K | 0.5% | |
| Vanguard Group Real Estate Index Admiral Fund –815 shares | — | — | — | $103K | 0.5% | |
| Vanguard Group Developing Markets Index Admiral Fund – 6,882 shares | — | — | $7K | $103K | 0.5% | |
| Nuveen Asset Management Lifecycle 2010 Fund –7,856 shares | — | — | $8K | $78K | 0.4% | |
| Vanguard Group Emerging Market Stock Index Admiral Fund –2,096 shares | — | — | $2K | $77K | 0.4% | |
| American Century Emerging Markets Fund –6,026 shares | — | — | $6K | $69K | 0.3% | |
| Goldman Sachs | — | — | — | $27K | 0.1% | |
| Vanguard Group GNMA Admiral Fund –1,854 shares | — | — | $2K | $17K | <0.1% | |
| Nuveen Asset Management Lifecycle 2015 Fund –1,411 shares | — | — | $1K | $13K | <0.1% | |
| Principal Life Insurance | — | — | — | $12K | <0.1% | |
| Ivy Investment | — | — | — | $9K | <0.1% | |
| Vanguard | — | — | — | $4K | <0.1% | |
| Principal Life Insurance | — | — | — | $2K | <0.1% | |
| Nuveen Asset Management Lifecycle Retirement Income Fund –128 shares | — | — | — | $1K | <0.1% |