Chappell Dale's Form 4 filing
Humanigen, Inc (HGEN) · filed Jul 2, 2021
- Accession no.
- 0001013594-21-000570
- Filed
- Jul 2, 2021, 5:44 PM ET
- Trade date
- Jun 30-Jul 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions. Open-market sales total $7.96M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Chappell DaleCIK 0001379459 | Director, Officer (Chief Scientific Officer), 10% Owner |
| Black Horse Capital LPCIK 0001178179 | 10% Owner |
| Black Horse Capital Management LLCCIK 0001379554 | 10% Owner |
| Cheval Holdings, Ltd.CIK 0001679225 | 10% Owner |
| Black Horse Capital Master Fund Ltd.CIK 0001679234 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 30, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −16,444 | $17.28 | −$284,093.12 | 955,917 | Indirect | |
| Jul 1, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −10,575 | $17.10 | −$180,810.29 | 945,342 | Indirect | |
| Jul 2, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −7,714 | $17.12 | −$132,063.68 | 937,628 | Indirect | |
| Jun 30, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −43,851 | $17.28 | −$757,587.42 | 2,199,956 | Indirect | |
| Jul 1, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −28,198 | $17.10 | −$482,126.58 | 2,171,758 | Indirect | |
| Jul 2, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −20,569 | $17.12 | −$352,141.28 | 2,151,189 | Indirect | |
| Jun 30, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −158,961 | $17.28 | −$2,746,273.82 | 8,061,118 | Indirect | |
| Jul 1, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −102,219 | $17.10 | −$1,747,730.24 | 7,958,899 | Indirect | |
| Jul 2, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −74,565 | $17.12 | −$1,276,552.8 | 7,884,334 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.