SEC Form 4 · accession 0001179110-15-010856
Tempest Therapeutics, Inc. · TPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Aldrich
Director
Period of report
Jun 30, 2015
Accepted (ET)
Jul 2, 2015 · 6:52 pm 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 Stock | Jun 30, 2015 | A | 367 | $28.93 | A | 800,728 | D | |
| Common StockF2 | holding | — | — | — | 22,350 | I | By Richard H. Aldrich 2005 Revocable Trust | |
| Common StockF3 | holding | — | — | — | 175,481 | I | By Richard H. Aldrich Irrevocable Trust of 2011 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.
- F2The trustee of the Richard H. Aldrich 2005 Revocable Trust is the Reporting Person and he exercises sole voting and investment power over the shares of record held by the trust.
- F3The trustee of the Richard H. Aldrich Irrevocable Trust of 2011 is the Reporting Person's spouse, Nichole Aldrich, and she exercises sole voting and investment power over the shares of record held by the trust.