Nomis Bay Ltd. - Dec 31, 2020 Form 5 Insider Report for HUMANIGEN, INC (HGEN)

Role
10%+ Owner
Signature
/s/ Peter Poole
Stock symbol
HGEN
Transactions as of
Dec 31, 2020
Transactions value $
-$8
Form type
5
Date filed
8/27/2021, 06:17 PM

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HGEN Call Option (Obligation to sell) Sale -$8 -80 0% $0.09 6.53M Oct 13, 2020 Common Stock 8K $20.00 Direct F1, F2
transaction HGEN Call Option (Obligation to sell) Expiration of short derivative position $0 -80 0% $0.00 6.53M Oct 16, 2020 Common Stock 8K $20.00 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Nomis Bay Ltd. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 On October 16, 2020, the related call option expired worthless.
F2 Reflects the number of shares of derivative securities beneficially owned by the reporting person after such sale, which was previously included in the total shown in Table I Column 5 of the previous reports on Form 4 filed by the reporting person.