SEC Form 4 · accession 0001179110-15-005717
Tempest Therapeutics, Inc. · TPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle Dipp
Officer — Chief Executive Officer · Director
Period of report
Mar 31, 2015
Accepted (ET)
Apr 2, 2015 · 10:09 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001544227
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 31, 2015 | F | 1,263 | $34.73 | D | 849,608 | D | |
| Common StockF3 | holding | — | — | — | 684,027 | I | By Longwood Fund GP, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld by the Registrant to satisfy minimum statutory withholding requirements upon vesting of time-based RSUs.
- F2Represents 822,568 shares of common stock and 27,040 RSUs.
- F3The Reporting Person, Richard Aldrich and Christoph Westphal, M.D, Ph.D. (the "Managers") are managers of Longwood Fund GP, LLC, and, as such, may be deemed to have shared voting and dispositive power with respect to the issuer's securities held by Longwood Fund GP, LLC. Each of the Managers disclaims beneficial ownership of the shares held by Longwood Fund GP, LLC, except to the extent of their respective pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the shares for purposes of Section 16 or any other purpose.