Tempest Therapeutics, Inc. (TPST): CFO Stephanie Horn-Warnock appointed

Events in this filing

Item 5.02 as filed

Item 5.02. Departure of Directors or
Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Departure of Chief Financial Officer and Principal Financial and
Accounting Officer
On October 26, 2026, Ms. Constance Ames confirmed
to Tempest Therapeutics, Inc. (the “Company”) that she would be resigning from her position as Chief Financial Officer of
the Company and from any and all other positions she holds with the Company for personal considerations unrelated to the Company, effective
immediately.
Appointment of Chief Financial Officer and Principal Financial and
Accounting Officer
On October 26, 2026, the Board of Directors of
the Company (the “Board”) appointed Ms. Stephanie Horn-Warnock as Chief Financial Officer, Principal Financial and Accounting
Officer, Treasurer, and Corporate Secretary of the Company, effective immediately.
Ms. Horn-Warnock, 37, is an experienced financial
executive with more than 14 years of experience in accounting, financial reporting, auditing and financial management across the healthcare,
pharmaceutical, medical technology, behavioral health and renewable energy industries. Since March 2026, she has served in financial leadership
and consulting roles through Stout Risius Ross, LLC, including as Controller of Diasome Pharmaceuticals, Inc. and Assistant Controller
of Aspargo Labs, Inc., and as an accounting and financial reporting consultant to Lomond Therapeutics Holdings, Inc. From January 2024
to September 2026, Ms. Horn-Warnock was the Vice President of Finance at ROM Technologies Inc., where she led the company’s accounting
and finance functions, including financial planning and analysis, treasury, financial reporting and regulatory compliance. She also oversaw
the company’s annual audits, internal controls and equity reporting. From 2022 to 2024, she served as Senior Manager of Accounting
and Assistant Controller at Palmetto Solar, LLC. From 2021 to 2022, she was Accounting Manager at Dascena, Inc. From 2018 to 2021, Ms.
Horn-Warnock held various controller positions at Sequel Youth and Family Services, LLC, including Divisional Controller for its Child
Welfare Division. She started her career in public accounting at BDO USA, P.C., where she advanced to Assurance Manager and led audits
of public and private companies. Ms. Horn-Warnock received a B.B.A. in Accounting from Emory University’s Goizueta Business School.
She is a Certified Public Accountant and a member of the American Institute of Certified Public Accountants and the Tennessee Society
of Certified Public Accountants.
Ms. Horn-Warnock will provide her services to the Company as a consultant pursuant to an engagement letter, dated October 28, 2026, under
which the Company will pay for Ms. Horn-Warnock’s services at a rate of $450 per hour, plus expenses and an indirect cost allocation
of 5.0% of total professional fees. Ms. Horn-Warnock will enter into the Company’s
standard form of indemnification agreement, the form of which was previously filed by the Company.
There are no family relationships between Ms.
Horn-Warnock and any of the Company’s directors or executive officers, and there are no arrangements or understandings between Ms.
Horn-Warnock and any other person pursuant to which she was appointed as an officer of the Company and designated as its Principal Financial
and Accounting Officer. There are no transactions involving Ms. Horn-Warnock requiring disclosure under Item 404(a) of Regulation S-K.
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