SEC Form 4 · accession 0001179110-16-017278
Tempest Therapeutics, Inc. · TPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Aldrich
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 19, 2015 | G | 200,000 | $0.00 | D | 601,979 | D | |
| Common StockF1 | Oct 19, 2015 | G | 200,000 | $0.00 | A | 200,000 | I | Richard H. Aldrich 2015 GRAT |
| Common Stock | Dec 31, 2015 | A | 1,087 | $0.00 | A | 603,066 | D | |
| Common StockF3 | holding | — | — | — | 22,350 | I | By Richard H. Aldrich 2005 Revocable Trust | |
| Common StockF4 | 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 Reporting Person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of the beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- 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.
- F3The 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.
- F4The 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.