SEC Form 4 · accession 0001213900-16-014469
Tempus Applied Solutions Holdings, Inc. · TMPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Chart Acquisition Group LLC
10% Owner
Christopher D. Brady
Director · 10% Owner
Chart Group, LP
10% Owner
Period of report
Jun 23, 2016
Accepted (ET)
Jun 24, 2016 · 2:35 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 StockF1,F2 | Jun 23, 2016 | J | 942,138 | — | A | 2,848,396 | I | See footnote |
| Common StockF1,F2 | Jun 23, 2016 | J | 188,428 | — | A | 3,036,824 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-2 WarrantF2,F1 | — | Jun 23, 2016 | J | 192,710 | D | Jul 31, 2015 | Oct 31, 2016 | Common Stock or Series A Convertible Preferred Stock | 942,138 | 0 | I |
| Series B-3 WarrantF2,F1 | — | Jun 23, 2016 | J | 38,542 | D | Aug 14, 2015 | Oct 31, 2016 | Common Stock or Series A Convertible Preferred Stock | 188,428 | 0 | I |
Explanation of responses
- F1On June 23, 2016, the Reporting Person exercised (i) Series B-2 Warrants into 942,138 shares of common stock, and (ii) Series B-3 Warrants into 188,428 shares of common stock, pursuant to a formula contained in the respective warrants that did not require the payment of any cash consideration or the withholding of warrant shares upon such exercise.
- F2Mr. Brady indirectly owns these securities through his membership interests in Antwerp L.L.C., the general partner of The Chart Group, L.P., which is the sole managing member of Chart Acquisition Group LLC.