Chappell Dale's Form 4 filing
Humanigen, Inc (HGEN) · filed Aug 13, 2021
- Accession no.
- 0001013594-21-000672
- Filed
- Aug 13, 2021, 9:28 PM ET
- Trade date
- Aug 11-12, 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 $2.86M. 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 11, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −8,224 | $17.07 | −$140,419.04 | 878,009 | Indirect | |
| Aug 12, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −4,316 | $17.16 | −$74,061.7 | 873,693 | Indirect | |
| Aug 11, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −21,929 | $17.07 | −$374,422.32 | 1,992,206 | Indirect | |
| Aug 12, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −11,510 | $17.16 | −$197,509.3 | 1,980,696 | Indirect | |
| Aug 11, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −79,494 | $17.07 | −$1,357,304.4 | 7,308,021 | Indirect | |
| Aug 12, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −41,725 | $17.16 | −$715,992.66 | 7,266,296 | 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.