0001013594-21-000649.txt : 20210730 0001013594-21-000649.hdr.sgml : 20210730 20210730210119 ACCESSION NUMBER: 0001013594-21-000649 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210728 FILED AS OF DATE: 20210730 DATE AS OF CHANGE: 20210730 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: 211134325 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: 211134327 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: 211134324 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: 211134326 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: 211134323 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: 533 AIRPORT BLVD. STREET 2: SUITE 400 CITY: BURLINGAME STATE: CA ZIP: 94010 BUSINESS PHONE: 650.243.3100 MAIL ADDRESS: STREET 1: 533 AIRPORT BLVD. STREET 2: SUITE 400 CITY: BURLINGAME STATE: CA ZIP: 94010 FORMER COMPANY: FORMER CONFORMED NAME: KALOBIOS PHARMACEUTICALS INC DATE OF NAME CHANGE: 20040609 4 1 form4.xml X0306 4 2021-07-28 0001293310 HUMANIGEN, INC HGEN 0001379459 Chappell Dale C/O OPUS EQUUM INC. PO BOX 788 DOLORES CO 81323 true true true Chief Scientific Officer 0001379554 BLACK HORSE CAPITAL MANAGEMENT LLC C/O OPUS EQUUM INC. PO BOX 788 DOLORES CO 81323 true 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 0001679225 Cheval Holdings, Ltd. P.O. BOX 309G, UGLAND HOUSE GEORGETOWN GRAND CAYMAN E9 KY1-1104 CAYMAN ISLANDS true Common Stock, $0.001 par value 2021-07-28 4 S 0 727 17.0411 D 886233 I By Black Horse Capital LP Common Stock, $0.001 par value 2021-07-29 4 S 0 2204 17.0342 D 884029 I By Black Horse Capital LP Common Stock, $0.001 par value 2021-07-28 4 S 0 1938 17.0411 D 2014135 I By Black Horse Capital Master Fund Ltd. Common Stock, $0.001 par value 2021-07-29 4 S 0 5879 17.0342 D 2008256 I By Black Horse Capital Master Fund Ltd. Common Stock, $0.001 par value 2021-07-28 4 S 0 7027 17.0411 D 7387515 I By Cheval Holdings, Ltd. Common Stock, $0.001 par value 2021-07-29 4 S 0 21311 17.0342 D 7366204 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. The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. BLACK HORSE CAPITAL LP By: Black Horse Capital Management LLC, its Managing General Partner By: /s/ Dale Chappell Name: Dale Chappell Title: Manager 2021-07-30 BLACK HORSE CAPITAL MASTER FUND LTD. By: /s/ Dale Chappell Name: Dale Chappell Title: Director 2021-07-30 BLACK HORSE CAPITAL MANAGEMENT LLC By: /s/ Dale Chappell Name: Dale Chappell Title: Manager 2021-07-30 CHEVAL HOLDINGS, LTD. By: /s/ Dale Chappell Name: Dale Chappell Title: Director 2021-07-30 /s/ Dale Chappell DALE CHAPPELL 2021-07-30