SEC Form 3 · accession 0001213900-15-008129

Tempus Applied Solutions Holdings, Inc. · TMPS

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

Reporting owner

10% Owner

Period of report

Oct 28, 2015

Accepted (ET)

Nov 2, 2015 · 5:13 pm EST

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	holding	—	—		—	656,250	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1	$11.50	holding	—	—	—	Aug 30, 2015	Dec 13, 2017	Common Stock	1,923,537	—	I
Series A-2 Warrant^F1	$4.80	holding	—	—	—	Jul 31, 2015	Jul 31, 2020	Common Stock or Series A Convertible Preferred Stock	328,125	—	I
Series B-2 Warrant^F1	$5.00	holding	—	—	—	Jul 31, 2015	Oct 31, 2020	Common Stock or Series A Convertible Preferred Stock	109,375	—	I
Series A-3 Warrant^F1	$4.80	holding	—	—	—	Aug 14, 2015	Jul 31, 2020	Common Stock or Series A Convertible Preferred Stock	65,625	—	I
Series B-3 Warrant^F1	$5.00	holding	—	—	—	Aug 14, 2015	Oct 31, 2016	Common Stock or Series A Convertible Preferred Stock	21,875	—	I

F1Peter A. Cohen, as Chairman and Chief Executive Officer of Cowen Group, Inc. ("CG"), which is the sole member of RCG LV Pearl, LLC, which is the sole member of Cowen Investments, LLC ("Cowen"), has voting and investment control over the securities of the issuer held by Cowen.