4//SEC Filing
Tempus Applied Solutions Holdings, Inc. 4
Accession 0001140361-16-070911
CIK 0001628871operating
Filed
Jun 26, 8:00 PM ET
Accepted
Jun 27, 5:45 PM ET
Size
27.6 KB
Accession
0001140361-16-070911
Insider Transaction Report
Form 4
Kendall Family Investments, LLC
10% Owner
Transactions
- Other
Common Stock
2016-06-23+942,138→ 2,829,646 total(indirect: See footnote) - Other
Common Stock
2016-06-23+188,428→ 3,018,074 total(indirect: See footnote) - Other
Series B-2 Warrants (Right to Buy)
2016-06-23+38,542→ 0 total(indirect: See footnote)From: 2015-08-14Exp: 2016-10-31→ Common Stock (188,428 underlying) - Other
Series B-2 Warrants (Right to Buy)
2016-06-23+192,710→ 0 total(indirect: See footnote)From: 2015-07-31Exp: 2016-10-31→ Common Stock (942,138 underlying)
BACON LOUIS M
10% Owner
Transactions
- Other
Common Stock
2016-06-23+942,138→ 2,829,646 total(indirect: See footnote) - Other
Series B-2 Warrants (Right to Buy)
2016-06-23+192,710→ 0 total(indirect: See footnote)From: 2015-07-31Exp: 2016-10-31→ Common Stock (942,138 underlying) - Other
Common Stock
2016-06-23+188,428→ 3,018,074 total(indirect: See footnote) - Other
Series B-2 Warrants (Right to Buy)
2016-06-23+38,542→ 0 total(indirect: See footnote)From: 2015-08-14Exp: 2016-10-31→ Common Stock (188,428 underlying)
Footnotes (3)
- [F1]This Form 4 is being filed (a) by Louis M. Bacon ("Mr. Bacon") who controls Kendall Family Investments, LLC ("Kendall"), and (b) by Kendall. This Form 4 relates to shares of common stock and warrants (the "Securities") of Tempus Applied Solutions Holdings, Inc. (the "Issuer") indirectly beneficially owned by Kendall. As the control person of Kendall, Mr. Bacon may be deemed to be the beneficial owner of the Securities indirectly beneficially owned by Kendall.
- [F2]The filing of this statement shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of any securities not held directly for its account for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise.
- [F3]On June 23, 2016, Christopher D. Brady, Chart Group, LP and Chart Acquisition Group LLC 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 an alternative cashless exercise formula contained in the respective warrants that permitted the holder to obtain, depending on the trading price of the Issuer's common stock, up to 488.9% of the number of shares of common stock that could otherwise be purchased under such warrant pursuant to an exercise for cash. Kendall indirectly beneficially owns the securities of the Issuer beneficially owned by Christopher D. Brady, Chart Group, LP and Chart Acquisition Group LLC and, as a result, reflects the cashless exercise of the Series B-2 Warrants and the Series B-3 Warrants herein.
Documents
Issuer
Tempus Applied Solutions Holdings, Inc.
CIK 0001628871
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001628871
Filing Metadata
- Form type
- 4
- Filed
- Jun 26, 8:00 PM ET
- Accepted
- Jun 27, 5:45 PM ET
- Size
- 27.6 KB