Chappell Dale's Form 4 filing
Humanigen, Inc (HGEN) · filed Jul 30, 2021
- Accession no.
- 0001013594-21-000649
- Filed
- Jul 30, 2021, 9:01 PM ET
- Trade date
- Jul 28-29, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market sales total $665.9K. 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 28, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −727 | $17.04 | −$12,388.88 | 886,233 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −2,204 | $17.03 | −$37,543.38 | 884,029 | Indirect | |
| Jul 28, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −1,938 | $17.04 | −$33,025.65 | 2,014,135 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −5,879 | $17.03 | −$100,144.06 | 2,008,256 | Indirect | |
| Jul 28, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −7,027 | $17.04 | −$119,747.81 | 7,387,515 | Indirect | |
| Jul 29, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −21,311 | $17.03 | −$363,015.84 | 7,366,204 | 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.