Tempest Therapeutics director receives 25,000 options

The options vest over three years, with one-third vesting on the first grant anniversary and the balance in equal monthly installments, subject to continued service.

Available on EDGAR 11/02/2026 - 04:27 PM EST Accepted by SEC EDGAR 11/02/2026 - 04:26 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Tempest Therapeutics, Inc. director John W. Frederick received an award of 25,000 stock options on October 13, 2026, covering 25,000 common shares. The options have a $0.74 exercise price and expire October 13, 2036. One-third vests on the first anniversary of the grant date, with the remainder vesting in equal monthly installments thereafter, subject to his continued service. His reported post-transaction position is 25,000 stock options.

Insider Trade Summary

Grant/Award: 25,000 shares

Grant/Award 1 txn

Insider Frederick John W.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (right to buy) F1	25,000	$0.00	$0.00

Holdings After Transaction: Stock Option (right to buy) — 25,000 contracts (Direct)

Holdings Before and After: Stock Option (right to buy), 0 to 25,000 contracts (Direct)

Footnotes (1)

1. F1. The shares subject to each such stock option will vest over a three-year period, with one-third of the award vesting on the first anniversary of the grant date and the remainder of the award vesting in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Key Figures

Option award: 25,000 stock options Underlying common shares: 25,000 shares Exercise price: $0.74 per share +2 more

5 metrics

Option award 25,000 stock options Granted to director John W. Frederick on October 13, 2026

Underlying common shares 25,000 shares Shares covered by the option award

Exercise price $0.74 per share Option term

Post-transaction derivative position 25,000 stock options Reported after the October 13, 2026 award

Expiration date October 13, 2036 Option award

Key Terms

Stock Option (right to buy), vest, continued service

3 terms

Stock Option (right to buy) financial

"Stock Option (right to buy)"

vest financial

"will vest over a three-year period"

A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those benefits.

continued service financial

"subject to the Reporting Person's continued service"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many TPST options did John W. Frederick receive?

John W. Frederick received 25,000 stock options covering 25,000 common shares on October 13, 2026. They have a $0.74 exercise price and expire October 13, 2036.

How do John W. Frederick's TPST options vest?

The options vest over a three-year period: one-third vests on the first anniversary of the grant date, and the remainder vests in equal monthly installments thereafter, subject to John W. Frederick's continued service.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Frederick John W.

(Last) (First) (Middle)

C/O TEMPEST THERAPEUTICS, INC.

2000 SIERRA POINT PARKWAY, SUITE 400

(Street)

BRISBANE CALIFORNIA 94005

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Tempest Therapeutics, Inc. [ TPST ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/13/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	$0.74	10/13/2026		A		25,000		(1)	10/13/2036	Common Stock	25,000	$0.00	25,000	D

Explanation of Responses:

1. The shares subject to each such stock option will vest over a three-year period, with one-third of the award vesting on the first anniversary of the grant date and the remainder of the award vesting in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Remarks:

This transaction is being reported late due to a delay in obtaining EDGAR codes from the Securities and Exchange Commission.

	/s/ John Frederick	11/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)