SEC Form 4 · accession 0000919574-15-008739
HUMANIGEN, INC · HGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Period of report
Dec 16, 2015
Accepted (ET)
Dec 17, 2015 · 7:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001293310
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 16, 2015 | P | 3,410 | $29.32 | A | 378,210 | D | |
| Common StockF1,F2 | Dec 16, 2015 | P | 3,410 | $29.32 | A | 378,210 | I | Through Anthion Partners II LLC |
| Common StockF3 | holding | — | — | — | 400,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On December 16, 2015, in connection with a private placement of the Issuer's securities that was announced and priced on December 3, 2015, Anthion Partners II LLC, on behalf of David Moradi, the Managing Member of Anthion Partners II LLC, acquired 3,410 shares of the Issuer's common stock, par value $0.001 per share, at a purchase price of $29.32 per share (which was the announced price for the private placement). The aggregate purchase price paid by Anthion Partners II LLC, on behalf of David Moradi, in the transaction was $99,981.20.
- F2The securities reported herein are owned directly by Anthion Partners II LLC and indirectly by David Moradi, the Managing Member of Anthion Partners II LLC. Both Anthion Partners II LLC and David Moradi are members of a "group" (with other persons) for purposes of Section 13(d) of the Securities Exchange Act of 1934. There is no voting or ownership agreement amongst the group members and the other members of the group do not have a pecuniary interest in the shares reported herein. Correspondingly, neither Anthion nor Mr. Moradi have a pecuniary interest in the shares owned by the other members of the group.
- F3On December 10, 2015, 200,000 shares were transferred from Anthion Partners II LLC's account to David Moradi's account and are now directly owned by David Moradi. On December 16, 2015, 200,000 additional shares were transferred from Anthion Partners II LLC's account to David Moradi's account and are now directly owned by David Moradi.