Home > Insider Trading > Filing (0001466538-19-000097)

Filing Details

Accession Number:: 0001466538-19-000097
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-10-16 18:05:24
Reporting Period:: 2019-03-29

Accepted Time:: 2019-10-16 18:05:24
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1628871	Tempus Applied Solutions Holdings Inc.	CNAC	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
48966	Cowen And Company, Llc	599 Lexington Avenue New York NY 10022	No	No	Yes	No
1275922	M Jeffrey Solomon	599 Lexington Avenue New York NY 10022	No	No	Yes	No
1355007	Cowen Holdings, Inc.	599 Lexington Avenue 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
1771946	Cowen Investments Ii Llc	599 Lexington Avenue New York NY 10022	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Ordinary Shares	Acquisiton	2019-03-29	100	$10.32	610,800	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-04-30	400	$10.25	611,200	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-04-30	1,726	$10.29	612,926	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-04-30	6,836	$10.30	619,762	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-04-30	300	$10.34	620,062	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-05-30	100	$10.34	620,162	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-05-31	1,500	$10.34	621,662	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-06-04	1,000	$10.35	622,662	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-06-04	100	$10.39	622,762	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-06-27	200	$10.38	622,962	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Acquisiton	2019-06-28	100	$10.40	623,062	No	4	P	Indirect	By Cowen and Company, LLC
Ordinary Shares	Disposition	2019-07-22	100	$10.34	622,962	No	4	S	Indirect	By Cowen and Company, LLC
Ordinary Shares	Disposition	2019-07-22	100	$10.36	622,862	No	4	S	Indirect	By Cowen and Company, LLC
Ordinary Shares	Disposition	2019-07-22	100	$10.40	622,762	No	4	S	Indirect	By Cowen and Company, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	P	Indirect	By Cowen and Company, LLC
No	4	S	Indirect	By Cowen and Company, LLC
No	4	S	Indirect	By Cowen and Company, LLC
No	4	S	Indirect	By Cowen and Company, LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Ordinary Shares	308,586	Indirect	By Cowen Investments II LLC

Footnotes

This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (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 Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. 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 and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company.
The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions.
Represents securities owned directly by Cowen Investments II as of 7/22/19, the date of the last transaction reported by this Form 4. As the sole member of Cowen Investments II, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments II. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments II. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen Investments II.