SEC Form 4 · accession 0001209191-15-036281
HUMANIGEN, INC · HGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ron Martell
Director
Period of report
Apr 22, 2015
Accepted (ET)
Apr 27, 2015 · 9:13 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001293310
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Apr 22, 2015 | A | 30,000 | A | — | — | Common Stock | 30,000 | 30,000 | D |
| Stock Option (right to buy)F3 | $0.57 | Apr 22, 2015 | A | 30,000 | A | — | Apr 21, 2025 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock of the Company.
- F2The RSUs will vest and settle ratably in three equal annual installments on the first, second and third anniversaries of April 22, 2015, subject to the terms of the Company's 2012 Equity Incentive Plan.
- F3The option shares will vest and become exercisable ratably over 36 months of continuous service beginning on April 22, 2015, subject to the terms of the Company's 2012 Equity Incentive Plan.