SEC Form 4 · accession 0001144204-15-066784

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).

Reporting owner

Anthion Partners II LLC

10% Owner

Period of report

Nov 16, 2015

Accepted (ET)

Nov 18, 2015 · 5:33 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 Stock^F1,F2	Nov 16, 2015	P	225,963	$1.26	A	293,900	D
Common Stock^F1,F2	Nov 16, 2015	P	225,963	$1.26	A	293,900	I	Through Anthion Partners II LLC
Common Stock^F3,F2	Nov 16, 2015	P	17,100	$1.76	A	311,000	D
Common Stock^F3,F2	Nov 16, 2015	P	17,100	$1.76	A	311,000	I	Through Anthion Partners II LLC
Common Stock^F4,F2	Nov 17, 2015	P	113,800	$1.69	A	424,800	D
Common Stock^F4,F2	Nov 17, 2015	P	113,800	$1.69	A	424,800	I	Through Anthion Partners II LLC

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The prices reported in Column 4 are weighted average prices. Anthion Partners II LLC, on behalf of David Moradi, the Managing Member of Anthion Partners II LLC, purchased 225,963 shares in multiple transactions at prices ranging from $0.7 to $1.69, inclusive. The reporting persons undertake to provide to Kalobios Pharmaceuticals, Inc., any security holder of Kalobios Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.
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.
F3The prices reported in Column 4 are weighted average prices. Anthion Partners II LLC, on behalf of David Moradi, the Managing Member of Anthion Partners II LLC, purchased 17,100 shares in multiple transactions at prices ranging from $1.7 to $1.85, inclusive. The reporting persons undertake to provide to Kalobios Pharmaceuticals, Inc., any security holder of Kalobios Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (3) to this Form 4.
F4The prices reported in Column 4 are weighted average prices. Anthion Partners II LLC, on behalf of David Moradi, the Managing Member of Anthion Partners II LLC, purchased 113,800 shares in multiple transactions at prices ranging from $1.42 to $1.96, inclusive. The reporting persons undertake to provide to Kalobios Pharmaceuticals, Inc., any security holder of Kalobios Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (4) to this Form 4.