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
- 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.
- 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.