| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HUMA | Common Stock | Sale | $2,098,240 | -570,174 | -5.7% | $3.68 | 9,420,562 | 17 Aug 2023 | By Ayabudge LLC | F1, F2 |
| transaction | HUMA | Common Stock | Sale | $2,238,315 | -626,979 | -6.7% | $3.57 | 8,793,583 | 18 Aug 2023 | By Ayabudge LLC | F1, F3 |
| transaction | HUMA | Common Stock | Sale | $2,042,282 | -602,443 | -6.9% | $3.39 | 8,191,140 | 21 Aug 2023 | By Ayabudge LLC | F1, F4 |
| holding | HUMA | Common Stock | 1,270,240 | 17 Aug 2023 | Direct | ||||||
| holding | HUMA | Common Stock | 510,161 | 17 Aug 2023 | By spouse |
| Id | Content |
|---|---|
| F1 | The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly beneficially owned by Dr. Niklason were sold in these transactions. |
| F2 | The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $4.13. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F3 | The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $3.75. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F4 | The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.22 to $3.80. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |