SEC Form 4/A · accession 0001144204-15-066811
HUMANIGEN, INC · HGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Period of report
Nov 16, 2015
Accepted (ET)
Nov 18, 2015 · 7:32 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 | Nov 16, 2015 | P | 225,963 | $1.26 | A | 293,900 | D | |
| Common StockF1,F2 | Nov 16, 2015 | P | 225,963 | $1.26 | A | 293,900 | I | Through Anthion Partners II LLC |
| Common StockF3,F2 | Nov 16, 2015 | P | 17,100 | $1.76 | A | 311,000 | D | |
| Common StockF3,F2 | Nov 16, 2015 | P | 17,100 | $1.76 | A | 311,000 | I | Through Anthion Partners II LLC |
| Common StockF4,F2 | Nov 17, 2015 | P | 113,800 | $1.69 | A | 424,800 | D | |
| Common StockF4,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.
Remarks
This Form 4 is being amended to reflect David Moradi's beneficial ownership.