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Filing Details

Accession Number:: 0001140361-18-011254
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-03-01 16:40:46
Reporting Period:: 2018-02-27

Accepted Time:: 2018-03-01 16:40:46
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1293310	Humanigen Inc	HGEN	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1178179	Black Horse Capital Lp	C/O Opus Equum, Inc. P.o. Box 788 Dolores CO 831323	No	No	Yes	No
1379459	Dale Chappell	C/O Opus Equum, Inc. P.o. Box 788 Dolores CO 831323	No	No	Yes	No
1379554	Black Horse Capital Management Llc	C/O Opus Equum, Inc. P.o. Box 788 Dolores CO 81323	No	No	Yes	No
1679225	Cheval Holdings, Ltd.	P.o. Box 309G, Ugland House Georgetown Grand Cayman E9 KY1-1104	No	No	Yes	No
1679234	Ltd. Fund Master Capital Horse Black	C/O Opus Equum, Inc. P.o. Box 788 Dolores CO 81323	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, $0.001 Par Value	Acquisiton	2018-02-27	5,123,733	$0.00	5,996,710	No	4	J	Indirect	By Black Horse Capital LP
Common Stock, $0.001 Par Value	Acquisiton	2018-02-27	11,957,369	$0.00	13,997,832	No	4	J	Indirect	By Black Horse Capital Master Fund Ltd.
Common Stock, $0.001 Par Value	Acquisiton	2018-02-27	12,812,322	$0.00	14,847,640	No	4	J	Indirect	By Cheval Holdings, Ltd.
Common Stock, $0.001 Par Value	Acquisiton	2018-02-27	32,028,669	$0.09	46,876,309	No	4	P	Indirect	By Cheval Holdings, Ltd.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	By Black Horse Capital LP
No	4	J	Indirect	By Black Horse Capital Master Fund Ltd.
No	4	J	Indirect	By Cheval Holdings, Ltd.
No	4	P	Indirect	By Cheval Holdings, Ltd.

Footnotes

This Form 4 is filed jointly by Black Horse Capital LP (the "Domestic Fund"), Black Horse Capital Master Fund Ltd. (the "Offshore Fund"), Cheval Holdings, Ltd. ("Cheval"), Black Horse Capital Management LLC ("BH Management") and Dale Chappell (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own.
Securities issued to holder pursuant to a Securities Purchase and Loan Satisfaction Agreement (the "Purchase and Satisfaction Agreement") in connection with the full satisfaction of an approximately $16.3 million term loan, including accrued interest and fees.
Securities purchased by Cheval pursuant to the Purchase and Satisfaction Agreement.
Securities owned directly by the Domestic Fund. BH Management, as the managing general partner of the Domestic Fund, may be deemed to beneficially own the securities owned directly by the Domestic Fund. Dale Chappell, as the managing member of BH Management, may be deemed to beneficially own the securities owned directly by the Domestic Fund.
Securities owned directly by the Offshore Fund. Dale Chappell, as the controlling person of the Offshore Fund, may be deemed to beneficially own the securities owned directly by the Offshore Fund.
Securities owned directly by Cheval. Each of BH Management, by virtue of having been granted by the Board of Directors of Cheval the power to manage the securities of the Issuer owned by Cheval, and Dale Chappell, as the managing member of BH Management, may be deemed to beneficially own the securities owned directly by Cheval.