0001140361-16-070911.txt : 20160627 0001140361-16-070911.hdr.sgml : 20160627 20160627174553 ACCESSION NUMBER: 0001140361-16-070911 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160623 FILED AS OF DATE: 20160627 DATE AS OF CHANGE: 20160627 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tempus Applied Solutions Holdings, Inc. CENTRAL INDEX KEY: 0001628871 STANDARD INDUSTRIAL CLASSIFICATION: TRANSPORTATION SERVICES [4700] IRS NUMBER: 472599251 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 555 5TH AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-350-8200 MAIL ADDRESS: STREET 1: 555 5TH AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kendall Family Investments, LLC CENTRAL INDEX KEY: 0001635979 STATE OF INCORPORATION: DE FISCAL YEAR END: 1214 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55534 FILM NUMBER: 161734284 BUSINESS ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-782-7000 MAIL ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BACON LOUIS M CENTRAL INDEX KEY: 0001051290 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55534 FILM NUMBER: 161734285 MAIL ADDRESS: STREET 1: 11 TIMES SQUARE, 39TH FLOOR STREET 2: MOORE CAPITAL MANAGEMENT LP CITY: NEW YORK STATE: NY ZIP: 10036 4 1 doc1.xml FORM 4 X0306 4 2016-06-23 0 0001628871 Tempus Applied Solutions Holdings, Inc. TMPS 0001051290 BACON LOUIS M 11 TIMES SQUARE NEW YORK NY 10036 0 0 1 0 0001635979 Kendall Family Investments, LLC 11 TIMES SQUARE NEW YORK NY 10036 0 0 1 0 Common Stock 2016-06-23 4 J 0 942138 A 2829646 I See footnote Common Stock 2016-06-23 4 J 0 188428 A 3018074 I See footnote Series B-2 Warrants (Right to Buy) 2016-06-23 4 J 0 192710 0 A 2015-07-31 2016-10-31 Common Stock 942138 0 I See footnote Series B-2 Warrants (Right to Buy) 2016-06-23 4 J 0 38542 0 A 2015-08-14 2016-10-31 Common Stock 188428 0 I See footnote This Form 4 is being filed (a) by Louis M. Bacon ("Mr. Bacon") who controls Kendall Family Investments, LLC ("Kendall"), and (b) by Kendall. This Form 4 relates to shares of common stock and warrants (the "Securities") of Tempus Applied Solutions Holdings, Inc. (the "Issuer") indirectly beneficially owned by Kendall. As the control person of Kendall, Mr. Bacon may be deemed to be the beneficial owner of the Securities indirectly beneficially owned by Kendall. The filing of this statement shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of any securities not held directly for its account for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. On June 23, 2016, Christopher D. Brady, Chart Group, LP and Chart Acquisition Group LLC exercised (i) Series B-2 Warrants into 942,138 shares of common stock, and (ii) Series B-3 Warrants into 188,428 shares of common stock, pursuant to an alternative cashless exercise formula contained in the respective warrants that permitted the holder to obtain, depending on the trading price of the Issuer's common stock, up to 488.9% of the number of shares of common stock that could otherwise be purchased under such warrant pursuant to an exercise for cash. Kendall indirectly beneficially owns the securities of the Issuer beneficially owned by Christopher D. Brady, Chart Group, LP and Chart Acquisition Group LLC and, as a result, reflects the cashless exercise of the Series B-2 Warrants and the Series B-3 Warrants herein. /s/ James E. Kaye, Attorney-in-Fact of Louis M. Bacon 2016-06-27 /s/ James E. Kaye, Vice President, Kendall Family Investments 2016-06-27 EX-99.1 2 jameskayetempussigned.htm Unassociated Document
 
               JOINT FILING INFORMATION

 
Reporting Person:
LOUIS M. BACON
 
Address:
11 TIMES SQUARE
 
NEW YORK, NEW YORK 10036
   
Designated Filer:
LOUIS M. BACON
   
Issuer and Symbol:
TEMPUS APPLIED SOLUTIONS HOLDINGS, INC. ("TMPS")
   
Date of Event Requiring Statement:
6/23/2016
   
Signature:
/s/ James E. Kaye, Attorney-in-Fact
James E. Kaye, Attorney-in-Fact
   
Reporting Person:
KENDALL FAMILY INVESTMENTS
   
Address:
11 TIMES SQUARE
 
NEW YORK, NEW YORK 10036
 
 
Designated Filer:
LOUIS M. BACON
   
Issuer and Symbol:
TEMPUS APPLIED SOLUTIONS HOLDINGS, INC. ("TMPS")
   
Date of Event Requiring Statement:
6/23/2016
   
Signature:
/s/ James E. Kaye, Vice President
James E. Kaye, Vice President