SEC Form 4 · accession 0001179110-16-017507
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
Jan 5, 2016
Accepted (ET)
Jan 7, 2016 · 6:51 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 | Jan 5, 2015 | D | 15,452 | $0.00 | D | 971,921 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 971,921 shares of common stock and no RSUs. 15,452 RSUs held by the Reporting Person were forfeited in connection with the Reporting Person entering into an Executive Chair Employment Agreement with the Issuer on January 5, 2016, as previously disclosed on the Issuer's Current Report on Form 8-K filed on January 6, 2016. The forfeited RSUs were not sold.