SEC Form 4 · accession 0001179110-16-017276
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
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 9:15 pm EST
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 | Dec 31, 2015 | A | 4,635 | $0.00 | A | 990,136 | D | |
| Common StockF2 | Dec 31, 2015 | F | 1,507 | $9.77 | D | 988,629 | D | |
| Common StockF3,F4 | Dec 31, 2015 | F | 1,256 | $9.77 | D | 987,373 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the vesting of 60% of the performance conditions of the first annual installment of the restricted stock units ("RSUs") granted to the Reporting Person in December 2014.
- F2Shares withheld by the Registrant to satisfy minimum statutory withholding requirements upon vesting of time-based RSUs. Withheld shares are not sold.
- F3Shares withheld by the Registrant to satisfy minimum statutory withholding requirements upon vesting of time-based RSUs. Withheld shares are not sold.
- F4Represents 971,921 shares of common stock and 15,452 RSUs.