NOMIS BAY LTD. - 31 Dec 2020 Form 5 Insider Report for HUMANIGEN, INC

Role
10%+ Owner
Signature
/s/ Peter Poole
Issuer symbol
N/A
Transactions as of
31 Dec 2020
Net transactions value
-$7.5
Form type
5
Filing time
27 Aug 2021, 18:17:26 UTC
SEC
View on sec.gov

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 $7.5 -80 -0% $0.0938 6,532,433 13 Oct 2020 Common Stock 8,000 $20.00 Direct F1, F2
transaction HGEN Call Option (Obligation to sell) Expiration of short derivative position $0 -80 -0% $0.000000 6,532,433 16 Oct 2020 Common Stock 8,000 $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.