Chappell Dale's Form 4 filing
Humanigen, Inc (HGEN) · filed Jul 16, 2021
- Accession no.
- 0001013594-21-000604
- Filed
- Jul 16, 2021, 8:28 PM ET
- Trade date
- Jul 14, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $258.8K. 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 14, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −1,138 | $17.06 | −$19,408.82 | 910,686 | Indirect | |
| Jul 14, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −3,036 | $17.06 | −$51,779.59 | 2,079,344 | Indirect | |
| Jul 14, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −11,003 | $17.06 | −$187,658.37 | 7,623,898 | 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.