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 Insider Title 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
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
  1. 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.
  2. 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.
  3. 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.
  4. 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.