SEC Form 4 · accession 0001213900-16-014473
Tempus Applied Solutions Holdings, Inc. · TMPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Wright Jr.
Director
Period of report
Jun 23, 2016
Accepted (ET)
Jun 24, 2016 · 2:39 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 | Jun 23, 2016 | J | 50,918 | — | A | 340,410 | D | |
| Common StockF1 | Jun 23, 2016 | J | 10,184 | — | A | 350,594 | 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 WarrantF1 | — | Jun 23, 2016 | J | 10,415 | D | Jul 31, 2015 | Oct 31, 2016 | Common Stock or Series A Convertible Preferred Stock | 50,918 | 0 | D |
| Series B-3 WarrantF1 | — | Jun 23, 2016 | J | 2,083 | D | Aug 14, 2015 | Oct 31, 2016 | Common Stock or Series A Convertible Preferred Stock | 10,184 | 0 | D |
Explanation of responses
- F1On June 23, 2016, the Reporting Person exercised his (i) Series B-2 Warrants into 50,918 shares of common stock, and (ii) Series B-3 Warrants into 10,184 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.