Filing Details

Accession Number:
0000921895-17-001901
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-11 18:46:16
Reporting Period:
2017-07-07
Filing Date:
2017-07-11
Accepted Time:
2017-07-11 18:46:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1628871 Tempus Applied Solutions Holdings Inc. TMPS () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1042589 A Peter Cohen 599 Lexington Avenue
20Th Floor
New York NY 10022
No No Yes No
1466538 Cowen Inc. 599 Lexington Avenue, 20Th Floor
New York NY 10022
No No Yes No
1613404 Rcg Lv Pearl Llc 599 Lexington Avenue
New York NY 10022
No No Yes No
1657385 Cowen Investments Llc 599 Lexington Avenue
New York NY 10022
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2017-07-07 194,349 $0.39 1,497,317 No 4 S Indirect By Cowen Investments LLC
Common Stock Disposition 2017-07-10 133,202 $0.37 1,364,115 No 4 S Indirect By Cowen Investments LLC
Common Stock Disposition 2017-07-11 122,363 $0.32 1,241,752 No 4 S Indirect By Cowen Investments LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Cowen Investments LLC
No 4 S Indirect By Cowen Investments LLC
No 4 S Indirect By Cowen Investments LLC
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Warrant $11.50 2015-08-30 2017-12-13 1,923,537 1,923,537 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-12-13 1,923,537 1,923,537 Indirect
Footnotes
  1. This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
  2. Represents securities owned directly by Cowen Investments. As the sole member of Cowen Investments, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments. As the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments.