SEC Form 4 · accession 0001179110-18-003673
Tempest Therapeutics, Inc. · TPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Woodruff Lillie
Officer — Chief Scientific Officer
Period of report
Mar 6, 2018
Accepted (ET)
Mar 6, 2018 · 5:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001544227
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $1.02 | Mar 6, 2018 | A | 357,057 | A | — | Mar 5, 2028 | Common Stock | 357,057 | 357,057 | D |
Explanation of responses
- F1The shares underlying this option shall vest as to 25% of the shares on the first anniversary of the commencement of the Reporting Person's employment (which began on January 16, 2018), with the remainder vesting in 12 equal quarterly installments thereafter, subject to the Reporting Person's continued service through each applicable vesting date.