SEC Form 4 · accession 0001213900-16-014471
Tempus Applied Solutions Holdings, Inc. · TMPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Lee Priest Jr.
Officer — CFO and Secretary
Period of report
Jun 23, 2016
Accepted (ET)
Jun 24, 2016 · 2:37 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 | 152,778 | — | A | 277,778 | D |
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 | 31,250 | D | Jul 31, 2015 | Oct 31, 2016 | Common Stock or Series A Convertible Preferred Stock | 152,778 | 0 | D |
Explanation of responses
- F1On June 23, 2016, the Reporting Person exercised his Series B-2 Warrants into 152,778 shares of common stock, pursuant to a formula contained in the warrants that did not require the payment of any cash consideration or the withholding of warrant shares upon such exercise.
- F2The reporting person directly owns these securities through his individual retirement account, MSSB C/F Robert Lee Priest, Jr., of which he is the beneficial owner.