Chappell Dale's Form 4 filing
Humanigen, Inc (HGEN) · filed Jul 9, 2021
- Accession no.
- 0001013594-21-000584
- Filed
- Jul 9, 2021, 9:01 PM ET
- Trade date
- Jul 8-9, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market sales total $5.97M. It was filed 1 day 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 8, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −3,601 | $17.17 | −$61,812.61 | 934,027 | Indirect | |
| Jul 9, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −22,203 | $17.37 | −$385,712.74 | 911,824 | Indirect | |
| Jul 8, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −9,602 | $17.17 | −$164,822.17 | 2,141,587 | Indirect | |
| Jul 9, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −59,207 | $17.37 | −$1,028,549.92 | 2,082,380 | Indirect | |
| Jul 8, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −34,807 | $17.17 | −$597,476.08 | 7,849,527 | Indirect | |
| Jul 9, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −214,626 | $17.37 | −$3,728,504.33 | 7,634,901 | 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.