Chappell Dale's Form 4 filing
Humanigen, Inc (HGEN) · filed Jul 23, 2021
- Accession no.
- 0001013594-21-000633
- Filed
- Jul 23, 2021, 8:32 PM ET
- Trade date
- Jul 21-23, 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 $5.40M. 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 21, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −9,957 | $17.14 | −$170,629.13 | 900,729 | Indirect | |
| Jul 22, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −13,350 | $17.04 | −$227,453.3 | 887,379 | Indirect | |
| Jul 23, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −419 | $17.04 | −$7,140.01 | 886,960 | Indirect | |
| Jul 21, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −26,553 | $17.14 | −$455,028.14 | 2,052,791 | Indirect | |
| Jul 22, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −35,601 | $17.04 | −$606,559.16 | 2,017,190 | Indirect | |
| Jul 23, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −1,117 | $17.04 | −$19,034.35 | 2,016,073 | Indirect | |
| Jul 21, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −96,254 | $17.14 | −$1,649,466.3 | 7,527,644 | Indirect | |
| Jul 22, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −129,054 | $17.04 | −$2,198,783.34 | 7,398,590 | Indirect | |
| Jul 23, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −4,048 | $17.04 | −$68,980.35 | 7,394,542 | 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.