SEC Form 4 · accession 0001144204-15-067473
HUMANIGEN, INC · HGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Shkreli
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 2:56 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 | Nov 20, 2015 | P | 5,000 | $18.88 | A | 2,070,200 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities reported herein are owned directly by Martin Shkreli, who is a member of a "group" 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, Mr. Shkreli does not have a pecuniary interest in the shares owned by the other members of the group.