0001013594-22-000276.txt : 20220310
0001013594-22-000276.hdr.sgml : 20220310
20220310192453
ACCESSION NUMBER: 0001013594-22-000276
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220308
FILED AS OF DATE: 20220310
DATE AS OF CHANGE: 20220310
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BLACK HORSE CAPITAL LP
CENTRAL INDEX KEY: 0001178179
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35798
FILM NUMBER: 22730683
BUSINESS ADDRESS:
STREET 1: C/O OPUS EQUUM INC.
STREET 2: PO BOX 788
CITY: DOLORES
STATE: CO
ZIP: 81323
BUSINESS PHONE: (646) 415-8246
MAIL ADDRESS:
STREET 1: C/O OPUS EQUUM INC.
STREET 2: PO BOX 788
CITY: DOLORES
STATE: CO
ZIP: 81323
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Chappell Dale
CENTRAL INDEX KEY: 0001379459
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35798
FILM NUMBER: 22730684
MAIL ADDRESS:
STREET 1: C/O OPUS EQUUM INC.
STREET 2: PO BOX 788
CITY: DOLORES
STATE: CO
ZIP: 81323
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Black Horse Capital Master Fund Ltd.
CENTRAL INDEX KEY: 0001679234
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35798
FILM NUMBER: 22730682
BUSINESS ADDRESS:
STREET 1: C/O OPUS EQUUM, INC.
STREET 2: P.O. BOX 788
CITY: DOLORES
STATE: CO
ZIP: 81323
BUSINESS PHONE: 646-688-5193
MAIL ADDRESS:
STREET 1: C/O OPUS EQUUM, INC.
STREET 2: P.O. BOX 788
CITY: DOLORES
STATE: CO
ZIP: 81323
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BLACK HORSE CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0001379554
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35798
FILM NUMBER: 22730681
BUSINESS ADDRESS:
STREET 1: C/O OPUS EQUUM INC.
STREET 2: PO BOX 788
CITY: DOLORES
STATE: CO
ZIP: 81323
BUSINESS PHONE: (646) 415-8246
MAIL ADDRESS:
STREET 1: C/O OPUS EQUUM INC.
STREET 2: PO BOX 788
CITY: DOLORES
STATE: CO
ZIP: 81323
FORMER NAME:
FORMER CONFORMED NAME: Black Horse Capital Management LLC
DATE OF NAME CHANGE: 20061030
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cheval Holdings, Ltd.
CENTRAL INDEX KEY: 0001679225
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35798
FILM NUMBER: 22730680
BUSINESS ADDRESS:
STREET 1: P.O. BOX 309G, UGLAND HOUSE
STREET 2: GEORGETOWN
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1104
BUSINESS PHONE: 646-472-7948
MAIL ADDRESS:
STREET 1: P.O. BOX 309G, UGLAND HOUSE
STREET 2: GEORGETOWN
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HUMANIGEN, INC
CENTRAL INDEX KEY: 0001293310
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 770557236
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 830 MORRIS TURNPIKE
STREET 2: 4TH FLOOR
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 200-3100
MAIL ADDRESS:
STREET 1: 830 MORRIS TURNPIKE
STREET 2: 4TH FLOOR
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
FORMER COMPANY:
FORMER CONFORMED NAME: KALOBIOS PHARMACEUTICALS INC
DATE OF NAME CHANGE: 20040609
4
1
form4.xml
X0306
4
2022-03-08
0001293310
HUMANIGEN, INC
HGEN
0001379459
Chappell Dale
C/O OPUS EQUUM INC.
PO BOX 788
DOLORES
CO
81323
true
true
true
Chief Scientific Officer
0001178179
BLACK HORSE CAPITAL LP
C/O OPUS EQUUM INC.
PO BOX 788
DOLORES
CO
81323
true
0001679234
Black Horse Capital Master Fund Ltd.
C/O OPUS EQUUM, INC.
P.O. BOX 788
DOLORES
CO
81323
true
0001379554
BLACK HORSE CAPITAL MANAGEMENT LLC
C/O OPUS EQUUM INC.
PO BOX 788
DOLORES
CO
81323
true
0001679225
Cheval Holdings, Ltd.
P.O. BOX 309G, UGLAND HOUSE
GEORGETOWN
GRAND CAYMAN
E9
KY1-1104
CAYMAN ISLANDS
true
Call Option (Right to Buy)
2.5
2022-03-08
4
P
0
238
1.2
A
2022-03-08
2022-05-20
Common Stock, $0.001 par value
23800
1050
I
By Black Horse Capital LP
Call Option (Right to Buy)
2.5
2022-03-09
4
P
0
5
1.2
A
2022-03-09
2022-05-20
Common Stock, $0.001 par value
500
1055
I
By Black Horse Capital LP
Call Option (Right to Buy)
5
2022-03-09
4
P
0
147
0.787
A
2022-03-09
2022-05-20
Common Stock, $0.001 par value
14700
331
I
By Black Horse Capital LP
Call Option (Right to Buy)
5
2022-03-10
4
P
0
79
0.75
A
2022-03-10
2022-05-20
Common Stock, $0.001 par value
7900
410
I
By Black Horse Capital LP
Call Option (Right to Buy)
2.5
2022-03-08
4
P
0
476
1.2
A
2022-03-08
2022-05-20
Common Stock, $0.001 par value
47600
2101
I
By Black Horse Capital Master Fund Ltd.
Call Option (Right to Buy)
2.5
2022-03-09
4
P
0
10
1.2
A
2022-03-09
2022-05-20
Common Stock, $0.001 par value
1000
2111
I
By Black Horse Capital Master Fund Ltd.
Call Option (Right to Buy)
5
2022-03-09
4
P
0
293
0.787
A
2022-03-09
2022-05-20
Common Stock, $0.001 par value
29300
661
I
By Black Horse Capital Master Fund Ltd.
Call Option (Right to Buy)
5
2022-03-10
4
P
0
157
0.75
A
2022-03-10
2022-05-20
Common Stock, $0.001 par value
15700
818
I
By Black Horse Capital Master Fund Ltd.
Call Option (Right to Buy)
2.5
2022-03-08
4
P
0
1668
1.2
A
2022-03-08
2022-05-20
Common Stock, $0.001 par value
166800
7357
I
By Cheval Holdings, Ltd.
Call Option (Right to Buy)
2.5
2022-03-09
4
P
0
36
1.2
A
2022-03-09
2022-05-20
Common Stock, $0.001 par value
3600
7393
I
By Cheval Holdings, Ltd.
Call Option (Right to Buy)
5
2022-03-09
4
P
0
1026
0.787
A
2022-03-09
2022-05-20
Common Stock, $0.001 par value
102600
2316
I
By Cheval Holdings, Ltd.
Call Option (Right to Buy)
5
2022-03-10
4
P
0
550
0.75
A
2022-03-10
2022-05-20
Common Stock, $0.001 par value
55000
2866
I
By Cheval Holdings, Ltd.
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 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.
BLACK HORSE CAPITAL LP
By: Black Horse Capital Management LLC, its Managing General Partner
By: /s/ Dale Chappell
Name: Dale Chappell
Title: Manager
2022-03-10
BLACK HORSE CAPITAL MASTER FUND LTD.
By: /s/ Dale Chappell
Name: Dale Chappell
Title: Director
2022-03-10
BLACK HORSE CAPITAL MANAGEMENT LLC
By: /s/ Dale Chappell
Name: Dale Chappell
Title: Manager
2022-03-10
CHEVAL HOLDINGS, LTD.
By: /s/ Dale Chappell
Name: Dale Chappell
Title: Director
2022-03-10
By: /s/ Dale Chappell
Name: Dale Chappell
2022-03-10