SEC Form 4 · accession 0001209191-18-062120
Tempest Therapeutics, Inc. · TPST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher A. Kroeger
Officer — Chief Executive Officer
Period of report
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 7:43 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1,F2 | $13.98 | May 10, 2018 | A | 47,666 | A | — | May 10, 2028 | Common Stock | 47,666 | 47,666 | D |
Explanation of responses
- F1Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018.
- F2The Reporting Person has the right to exercise these options for a three-year period after any termination of his employment (other than for cause).