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TPST

Tempest Therapeutics, Inc.

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7734
SEC CIK
0001544227
Parsed reports
237

Last 12 months

Inside the activity.

2 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202620
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 21, 2017 Filed Jun 24, 2017 00:54 UTC
Dipp MichelleDirector · Executive Chair
GrantStock Option (right to buy) · Derivative 175,000 $0.00 Strike: $1.46 $0.00
Disclosure

SEC source: 0001179110-17-009551 · edgar.xml · derivative · entry 1

Dipp Michelle · CIK 0001551614 · Director · Executive Chair

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2027-06-21

F1 · derivative.exercise_date: (1) 12.5% of the shares underlying the option shall vest on September 21, 2017 and 12.5% of the shares underlying the option shall vest at the end of each successive three-month period thereafter until June 21, 2019.

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June 21, 2017 Filed Jun 24, 2017 00:54 UTC
GILLIS JONATHANVice President Finance
GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $1.46 $0.00
Disclosure

SEC source: 0001179110-17-009550 · edgar.xml · derivative · entry 1

GILLIS JONATHAN · CIK 0001709954 · Vice President Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2017-06-21

F1 · derivative.exercise_date: The option shall vest as to 25% of the shares on June 14, 2018 and the remaining shares shall vest in equal quarterly installments over 12 quarters, ending on June 14, 2021.

Read SEC document
June 13, 2017 Filed Jul 5, 2017 23:11 UTC GrantCommon Stock 7,873 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-010097 · edgar.xml · nonDerivative · entry 1

Malley Thomas · CIK 0001403322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,981

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

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March 31, 2017 Filed Apr 5, 2017 01:02 UTC GrantCommon Stock 7,085 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-005740 · edgar.xml · nonDerivative · entry 1

Malley Thomas · CIK 0001403322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,108

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

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March 31, 2017 Filed Apr 4, 2017 21:01 UTC
FISHER MARYDirector
GrantCommon Stock 2,673 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-005739 · edgar.xml · nonDerivative · entry 1

FISHER MARY · CIK 0001272360 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,637

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
March 31, 2017 Filed Apr 5, 2017 01:02 UTC
KOZIN MARC DDirector
GrantCommon Stock 5,180 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-005741 · edgar.xml · nonDerivative · entry 1

KOZIN MARC D · CIK 0001241647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,287

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

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March 31, 2017 Filed Apr 4, 2017 21:02 UTC GrantCommon Stock 5,681 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-005742 · edgar.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,971

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

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March 02, 2017 Filed Mar 6, 2017 20:07 UTC
Couturier ChristopheChief Financial Officer
GrantStock Option (right to buy) · Derivative 45,750 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001179110-17-004065 · edgar.xml · derivative · entry 1

Couturier Christophe · CIK 0001684076 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,750

Underlying: Common Stock · 45,750 shares

Expires 2027-03-02

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on March 2, 2018 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter until March 2, 2021.

Read SEC document
March 02, 2017 Filed Mar 7, 2017 01:07 UTC
Dipp MichelleDirector · Executive Chair
GrantStock Option (right to buy) · Derivative 150,000 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001179110-17-004066 · edgar.xml · derivative · entry 1

Dipp Michelle · CIK 0001551614 · Director · Executive Chair

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-03-02

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on March 2, 2018 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter thereafter until March 2, 2021.

Read SEC document
January 05, 2017 Filed Jan 9, 2017 19:36 UTC
Couturier ChristopheChief Financial Officer
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001179110-17-000824 · edgar.xml · derivative · entry 1

Couturier Christophe · CIK 0001684076 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-01-05

F1 · derivative.exercise_date: The option vests as to 12.5% of the option shares on January 5, 2017 and vests as to an additional 12.5% of the option shares at the end of each successive three-month period thereafter.

Read SEC document
December 30, 2016 Filed Jan 5, 2017 01:30 UTC GrantCommon Stock 8,660 $1.53 $13,249.80
Disclosure

SEC source: 0001179110-17-000420 · edgar.xml · nonDerivative · entry 1

Malley Thomas · CIK 0001403322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,023

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
December 30, 2016 Filed Jan 4, 2017 20:29 UTC
FISHER MARYDirector
GrantCommon Stock 3,267 $1.53 $4,998.51
Disclosure

SEC source: 0001179110-17-000418 · edgar.xml · nonDerivative · entry 1

FISHER MARY · CIK 0001272360 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,964

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
December 30, 2016 Filed Jan 5, 2017 01:29 UTC
KOZIN MARC DDirector
GrantCommon Stock 6,331 $1.53 $9,686.43
Disclosure

SEC source: 0001179110-17-000419 · edgar.xml · nonDerivative · entry 1

KOZIN MARC D · CIK 0001241647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,107

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
December 30, 2016 Filed Jan 4, 2017 20:29 UTC GrantCommon Stock 6,944 $1.53 $10,624.32
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,290

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

F2 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
December 23, 2016 Filed Mar 13, 2017 21:21 UTC
Couturier ChristopheChief Financial Officer
GrantCommon Stock 300 $1.44 $431.16
Disclosure

SEC source: 0001179110-17-004542 · edgar.xml · nonDerivative · entry 1

Couturier Christophe · CIK 0001684076 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,900

Read SEC document
December 22, 2016 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 154,519 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 3

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,346

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

Read SEC document
December 22, 2016 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 154,519 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Little Eagles, LLC

Disclosed balance after: 330,000

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

F3 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of the Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

Read SEC document
December 13, 2016 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 645,842 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 5

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,865

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

Read SEC document
December 13, 2016 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 645,842 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Richard H. Aldrich 2005 Revocable Trust

Disclosed balance after: 668,192

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

F4 · ownership.nature: The trustee of the Richard H. Aldrich 2005 Revocable Trust is the Reporting Person and he exercises sole voting and investment power over the shares of record held by the trust.

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December 07, 2016 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 7

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Richard H. Aldrich 2015 GRAT

Disclosed balance after: 0

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

Read SEC document
December 07, 2016 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 6

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 807,707

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

Read SEC document
September 30, 2016 Filed Oct 4, 2016 21:11 UTC GrantCommon Stock 1,850 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-030317 · edgar.xml · nonDerivative · entry 1

Malley Thomas · CIK 0001403322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,363

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
September 30, 2016 Filed Oct 4, 2016 17:12 UTC
FISHER MARYDirector
GrantCommon Stock 698 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-030319 · edgar.xml · nonDerivative · entry 1

FISHER MARY · CIK 0001272360 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,697

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
September 30, 2016 Filed Oct 4, 2016 21:12 UTC
KOZIN MARC DDirector
GrantCommon Stock 1,353 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-030318 · edgar.xml · nonDerivative · entry 1

KOZIN MARC D · CIK 0001241647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,776

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
September 30, 2016 Filed Oct 4, 2016 17:13 UTC GrantCommon Stock 1,483 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-030320 · edgar.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 607,707

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

Read SEC document
September 08, 2016 Filed Sep 12, 2016 19:15 UTC
Couturier ChristopheChief Financial Officer
GrantStock Option (right to buy) · Derivative 200,000 $0.00 Strike: $7.15 $0.00
Disclosure

SEC source: 0001179110-16-029578 · edgar.xml · derivative · entry 2

Couturier Christophe · CIK 0001684076 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2026-09-08

F3 · derivative.exercise_date: The option vests as to 25% of the option shares on September 6, 2017 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

Read SEC document
September 08, 2016 Filed Sep 12, 2016 19:15 UTC
Couturier ChristopheChief Financial Officer
GrantCommon Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-029578 · edgar.xml · nonDerivative · entry 1

Couturier Christophe · CIK 0001684076 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,600

F1 · shares: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSU vests as to 25% of the shares on September 6, 2017 and as to an additional 6.25% of the shares each successive three-month period thereafter, until September 6, 2020.

F2 · balance_after: Represents 600 shares of common stock and 50,000 RSUs.

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June 30, 2015 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 175,481 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 9

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Richard H. Aldrich Irrevocable Trust of 2011

Disclosed balance after: 0

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

F5 · ownership.nature: The trustee of the Richard H. Aldrich Irrevocable Trust of 2011 is the Reporting Person's spouse, Nichole Aldrich, and she exercises sole voting and investment power over the shares of record held by the trust.

Read SEC document
June 30, 2015 Filed Jan 4, 2017 20:29 UTC GiftCommon Stock 175,481 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 8

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Little Eagles, LLC

Disclosed balance after: 175,481

F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities.

F3 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of the Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.