SEC Form 4 · accession 0000921895-17-001901

Tempus Applied Solutions Holdings, Inc. · TMPS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

10% Owner

10% Owner

Period of report

Jul 7, 2017

Accepted (ET)

Jul 11, 2017 · 6:46 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001628871

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Jul 7, 2017	S	194,349	$0.3934	D	1,497,317	I	By Cowen Investments LLC
Common Stock^F1,F2	Jul 10, 2017	S	133,202	$0.3694	D	1,364,115	I	By Cowen Investments LLC
Common Stock^F1,F2	Jul 11, 2017	S	122,363	$0.3159	D	1,241,752	I	By Cowen Investments LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1,F2	$11.50	holding	—	—	—	Aug 30, 2015	Dec 13, 2017	Common Stock	1,923,537	1,923,537	I

F1This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
F2Represents securities owned directly by Cowen Investments. As the sole member of Cowen Investments, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments. As the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments.