Chappell Dale's Form 4 filing
Humanigen, Inc (HGEN) · filed Mar 10, 2022
- Accession no.
- 0001013594-22-000276
- Filed
- Mar 10, 2022, 7:24 PM ET
- Trade date
- Mar 8-10, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 derivative transactions. 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.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 8, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +23,800 | $1.20 | +$285.6 | 1,050 | Indirect | |
| Mar 9, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +500 | $1.20 | +$6 | 1,055 | Indirect | |
| Mar 9, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +14,700 | $0.787 | +$115.69 | 331 | Indirect | |
| Mar 10, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +7,900 | $0.75 | +$59.25 | 410 | Indirect | |
| Mar 8, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +47,600 | $1.20 | +$571.2 | 2,101 | Indirect | |
| Mar 9, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +1,000 | $1.20 | +$12 | 2,111 | Indirect | |
| Mar 9, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +29,300 | $0.787 | +$230.59 | 661 | Indirect | |
| Mar 10, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +15,700 | $0.75 | +$117.75 | 818 | Indirect | |
| Mar 8, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +166,800 | $1.20 | +$2,001.6 | 7,357 | Indirect | |
| Mar 9, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +3,600 | $1.20 | +$43.2 | 7,393 | Indirect | |
| Mar 9, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +102,600 | $0.787 | +$807.46 | 2,316 | Indirect | |
| Mar 10, 2022 | Common Stock, $0.001 par value | PPurchaseAcquired | +55,000 | $0.75 | +$412.5 | 2,866 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.