Form D · Biotechnology
Tempest Therapeutics, Inc.
Brisbane, CA · CIK 0001544227
Offering snapshot reported Oct 14, 2026 · SEC filing
- Reported sold
- $7.5M Offering amount: $7.5M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Sep 15, 2026 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Oct 14, 2026 | Initial | $7,500,000 | No comparison | 1 | SEC filing |
| Jun 23, 2026 | Initial | $4,056,552 | No comparison | 1 | SEC filing |
| Apr 3, 2026 | Initial | $1,999,539 | No comparison | 3 | SEC filing |
| May 11, 2022 | Initial | $15,000,000 | No comparison | 2 | SEC filing |
| Mar 28, 2013 | Initial | $34,999,920 | No comparison | 31 | SEC filing |
| Aug 14, 2012 | Amendment | $4,936,547 | $859,138vs Aug 3, 2012 | 253 | SEC filing |
| Aug 3, 2012 | Amendment | $4,077,409 | $441,463vs Jul 20, 2012 | 116 | SEC filing |
| Jul 20, 2012 | Amendment | $3,635,946 | $2,232,324vs Jul 5, 2012 | 80 | SEC filing |
| Jul 5, 2012 | Initial | $1,403,622 | No comparison | 41 | SEC filing |
| Apr 9, 2012 | Initial | $37,238,097 | No comparison | 19 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired, Other
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $225K
- Finders' fees
- $0
- Form D file number
- 021-601073
Offering of 3,105,591 pre-funded warrants and accompanying 3,105,591 Series C and 3,105,591 Series D warrants, including the common stock underlying such warrants at combined exercise price of $0.804. Total offering amount excludes PA warrants (Item 15).
Pre-funded warrants and Series C and Series D Common Stock Purchase Warrants, including underlying shares of common stock.
Includes a cash placement fee equal to 7.0% of the gross proceeds of the offering, reimbursement of $50,000 legal fees and warrants, exercisable upon stockholder approval, to purchase 217,391 common stock at an exercise price of $1.0063 per share.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 000000375 |
Source: Form D, filed Oct 14, 2026. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No matching detailed fund disclosure was found in the latest imported ADV filings. This does not establish that the issuer has no adviser.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Richard Aldrich | Director |
| Constance Ames | Executive |
| Matthew Angel | Director, Executive |
| Christopher A. Bleck | Executive |
| Stephen Brady | Director |
| Jeff Capello | Director |
| Scott Chappel | Executive |
| Michelle Dipp | Director, Executive |
| Thomas W. Dubensky | Director, Executive |
| Michael Flanagan | Executive |
| Nancy Freda Smith | Director |
| John Wilbert Frederick | Director |
| Stephen Kraus | Director |
| Alison Lawton | Executive |
| Nicholas Maestas | Executive |
| Thomas Malley | Director |
| Geoffrey Nichol | Director |
| Christine Pellizzari | Director |
| Michael Raab | Director |
| William Drake Richey | Director |
| Ronit Simantov | Director |
| John Simon | Director |
| Harald Stock | Director |
| Jonathan Tilly | Director |
| Justin Trojanowski | Executive |
| Christoph Westphal | Director |
| Thomas Woiwode | Director |
| John David Yee | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
2000 Sierra Point Parkway, Suite 400
Brisbane, CA, 94005
Phone: 415-798-8589
Brisbane, CA, 94005
Phone: 415-798-8589