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Tempest Therapeutics, Inc. — Director's Dealing 2018
Dec 12, 2018
34632_dirs_2018-12-11_e202ca35-d175-4c0a-94de-5c3d156a9137.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Millendo Therapeutics, Inc. (MLND)
CIK: 0001544227
Period of Report: 2018-12-07
Reporting Person: Owens Julia C. (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-12-07 | Common Stock | A | 74400 | — | Acquired | 74400 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-12-07 | Employee Stock Option (right to buy) | $1.08 | A | 60179 | Acquired | 2022-08-29 | Common Stock (60179) | Direct |
| 2018-12-07 | Employee Stock Option (right to buy) | $4.44 | A | 151600 | Acquired | 2026-01-27 | Common Stock (151600) | Direct |
| 2018-12-07 | Employee Stock Option (right to buy) | $16.40 | A | 174839 | Acquired | 2028-08-23 | Common Stock (174839) | Direct |
Footnotes
F1: Received in exchange for 1,000,000 shares of Millendo Therapeutics, Inc. ("Millendo") common stock in connection with merger of Millendo Therapeutics, Inc. into the Issuer (the "Merger").
F2: Fully vested.
F3: Received in connection with the Merger in exchange for a stock option to acquire 808,867 shares of Millendo common stock for $0.08 per share.
F4: Twenty-five percent (25%) of the shares subject to the option vested on January 28, 2017, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.
F5: Received in connection with the Merger in exchange for a stock option to acquire 2,037,648 shares of Millendo common stock for $0.33 per share.
F6: Twenty-five percent (25%) of the shares subject to the option shall vest on August 20, 2019, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.
F7: Received in connection with the Merger in exchange for a stock option to acquire 2,350,000 shares of Millendo common stock for $1.22 per share.