SEC Form 4 · accession 0001179110-16-017277
Tempest Therapeutics, Inc. · TPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harald F. Stock
Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 9:16 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 Stock | Oct 9, 2015 | G | 1,413 | $0.00 | D | 0 | D | |
| Common StockF1 | Oct 9, 2015 | G | 1,413 | $0.00 | A | 15,194 | I | See Footnote |
| Common Stock | Dec 31, 2015 | A | 1,228 | $0.00 | A | 1,228 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1By SB Vermogensverwaltungs KG, a trust of which the reporting person is a majority shareholder and managing partner.
- F2The 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.