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Tempest Therapeutics, Inc. — Director's Dealing 2018
Dec 12, 2018
34632_dirs_2018-12-11_8ab39e04-8681-4bf9-9758-806c7d3425a1.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: Mohideen Pharis (Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-12-07 | Common Stock | A | 7440 | — | Acquired | 7440 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-12-07 | Employee Stock Option (right to buy) | $2.69 | A | 19258 | Acquired | 2024-12-04 | Common Stock (19258) | Direct |
| 2018-12-07 | Employee Stock Option (right to buy) | $4.44 | A | 37485 | Acquired | 2026-01-27 | Common Stock (37485) | Direct |
| 2018-12-07 | Employee Stock Option (right to buy) | $16.40 | A | 40919 | Acquired | 2028-08-23 | Common Stock (40919) | Direct |
Footnotes
F1: Received in exchange for 100,000 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 258,845 shares of Millendo common stock for $0.20 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 503,847 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 550,000 shares of Millendo common stock for $1.22 per share.