Statement of Changes in Beneficial Ownership (4)
June 09 2021 - 5:11PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jordan Edward P. |
2. Issuer Name and Ticker or Trading Symbol
HUMANIGEN, INC
[
HGEN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Commercial Officer |
(Last)
(First)
(Middle)
C/O HUMANIGEN, INC., 533 AIRPORT BLVD., SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/8/2021 |
(Street)
BURLINGAME, CA 94010
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/8/2021 | | M | | 14700 | A | $9.65 | 14700 | D | |
Common Stock | 6/8/2021 | | S | | 14700 | D | $20.08 (2) | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $9.65 | 6/8/2021 | | M | | | 14700 | 12/31/2020 (1) | 9/18/2030 | Common Stock | 14700 | $0 | 73500 | D | |
Explanation of Responses: |
(1) | On September 18, 2020, Mr. Jordan was granted an option to purchase 88,200 shares of the Company's common stock, which vests in 12 ratable quarterly installments commencing December 31, 2020. |
(2) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $20.00 to $20.21, inclusive. The reporting person undertakes to provide upon request to the issuer, the Securities and Exchange Commission or any security holder of the issuer full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jordan Edward P. C/O HUMANIGEN, INC. 533 AIRPORT BLVD., SUITE 400 BURLINGAME, CA 94010 |
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| Chief Commercial Officer |
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Signatures
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/s/ Timothy E. Morris, Attorney-in-fact | | 6/9/2021 |
**Signature of Reporting Person | Date |
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