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| CIK | 1293310 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Humanigen, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| January 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 3, 2024 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-05572 |
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| January 8, 2024 |
EXHIBIT 2.1 ASSET PURCHASE AGREEMENT Dated as of JANUARY 3, 2024 by and AMONG Taran Therapeutics Inc., as Purchaser AND humanigen, inc., as Seller INDEX OF EXHIBITS EXHIBIT A FORM OF BILL OF SALE EXHIBIT B FORM OF ASSIGNMENT AND ASSUMPTION AGREEMENT EXHIBIT C FORM OF INTELLECTUAL PROPERTY ASSIGNMENT AGREEMENT EXHIBIT D FORM OF EQUITY INTEREST POWER Asset Purchase Agreement THIS Asset Purchase Agre |
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| September 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2023 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-055 |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-35798 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q |
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| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2023 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557236 |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exact n |
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| April 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-35798 HUMANIGEN, INC. (Exact name |
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| April 25, 2023 |
Exhibit 10.2 This EMPLOYMENT AGREEMENT (“Agreement”), is dated as of August 24, 2020 (the “Effective Date”), by and between Humanigen, Inc., a Delaware corporation with offices at 533 Airport Blvd, Suite 400, Burlingame, CA 94010 (the “Corporation”), and Edward P. Jordan, an individual (“Executive”). The Parties to this Agreement are the Corporation and Executive, referred to individually as the “ |
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| April 19, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2023 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-055723 |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 5, 2023 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557236 |
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| March 30, 2023 |
Description of Registrant’s Director Compensation Policy. Exhibit 10.19 Humanigen, Inc. Compensation for Non-employee Directors Pursuant to our Director Compensation Program, each director serving on our Board during 2021 who was not our employee was eligible to compensation for his or her service, as follows. Until the fourth quarter of 2021, such fees were payable in cash. Commencing in the fourth quarter of 2021, at the option of the director, such fe |
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| March 30, 2023 |
EXHIBIT 21.1 Subsidiaries of Humanigen, Inc. Name State/Country of Incorporation/Formation Status Humanigen, Ltd. United Kingdom Active Humanigen Australia Pty, Ltd. Australia Active Humanigen Europe, Ltd. Ireland Active |
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| March 30, 2023 |
Exhibit 10.20 CERTAIN IDENTIFIED INFORMATION, MARKED BY [***], HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE COMPANY, IF PUBLICLY DISCLOSED. SETTLEMENT AGREEMENT This SETTLEMENT AGREEMENT (the “Agreement”) is executed on December 16, 2022 (the “Signing Date”) to be effective as of September 30, 2022 (the “Effective Date”) |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-35798 HUMANIGEN, INC. (Exact name of registrant as spe |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-055723 |
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| March 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2023 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557236 |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2023 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-055 |
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| February 1, 2023 |
HGEN / Humanigen Inc / Murchinson Ltd. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Amendment No. |
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| December 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-055 |
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| November 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| November 14, 2022 |
Humanigen Reports Third Quarter 2022 Financial Results Exhibit 99.1 Humanigen Reports Third Quarter 2022 Financial Results SHORT HILLS, N.J. November 14, 2022-(Business Wire) - Humanigen, Inc. (Nasdaq: HGEN) (Humanigen), a clinical-stage biopharmaceutical company focused on developing lenzilumab (LENZ?), a first-in class antibody that neutralizes granulocyte-macrophage colony-stimulating factor (GM-CSF), today reported financial results for the third |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35798 Humanigen, Inc. (Exact |
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| October 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-05572 |
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| September 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 23, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-05 |
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| September 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-05572 |
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| August 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-05572 |
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| August 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| August 12, 2022 |
Humanigen Reports Second Quarter 2022 Financial Results Exhibit 99.1 Humanigen Reports Second Quarter 2022 Financial Results SHORT HILLS, N.J. August 12, 2022-(Business Wire) - Humanigen, Inc. (Nasdaq: HGEN) (?Humanigen?), a clinical-stage biopharmaceutical company focused on developing lenzilumab (LENZ?), a first-in class antibody that neutralizes granulocyte-macrophage colony-stimulating factor (GM-CSF), today reported financial results for the secon |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ?QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ?TRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35798 Humanigen, Inc. (Exact name of |
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| August 10, 2022 |
HGEN / Humanigen Inc / Valiant Capital Management, L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 444863203 (CUSIP Number) July 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| July 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557236 |
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| July 26, 2022 |
Exhibit 99.1 Humanigen Implements Strategic Realignment of Pipeline and Resources to Achieve Key Clinical Milestones SHORT HILLS, NJ.-(Newsfile Corp. July 26, 2022) - Humanigen, Inc. (Nasdaq: HGEN) (?Humanigen?), a clinical-stage biopharmaceutical company focused on developing lenzilumab, a first-in class antibody that neutralizes granulocyte-macrophage colony-stimulating factor (GM-CSF), today an |
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| July 13, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 12, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557236 |
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| July 13, 2022 |
Humanigen receives preliminary topline data from NIH/NIAID study of lenzilumab in ACTIV-5/BET-B Exhibit 99.1 Humanigen receives preliminary topline data from NIH/NIAID study of lenzilumab in ACTIV-5/BET-B SHORT HILLS, NJ. July 12, 2022-(BUSINESS WIRE)-Humanigen, Inc. (Nasdaq: HGEN) (?Humanigen?), has been informed of preliminary topline results from the National Institute of Allergy and Infectious Diseases? (NIAID) ACTIV-5/BET-B trial evaluating lenzilumab plus remdesivir versus placebo plus |
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| June 30, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557236 |
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| June 10, 2022 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557236 |
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| May 9, 2022 |
HGEN / Humanigen Inc / BlackRock Inc. Passive Investment us4448632038050922.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: ) HUMANIGEN, INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 444863203 - (CUSIP Number) April 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| May 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ?QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ?TRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exact nam |
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| May 5, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) ( |
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| May 5, 2022 |
Humanigen Reports First Quarter 2022 Financial Results Exhibit 99.1 Humanigen Reports First Quarter 2022 Financial Results SHORT HILLS, N.J. May 5, 2022-(Business Wire)-Humanigen, Inc. (Nasdaq: HGEN) (?Humanigen?), a clinical stage biopharmaceutical company focused on preventing and treating an immune hyper-response called ?cytokine storm? with its lead drug candidate, lenzilumab (LENZ?), today provided a corporate update and reported financial result |
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| May 5, 2022 |
Exhibit 10.1 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of April 23, 2022 (the ?Amendment Effective Date?), is entered into by and among HUMANIGEN, INC., a Delaware corporation, and each of the Qualified Subsidiaries (hereinafter collectively referred to as the ?Borrower?), the several banks and other financial in |
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| April 14, 2022 |
Up to $75,000,000 Common Stock PROSPECTUS Filed pursuant to Rule 424(b)(5) Registration No. 333-263132 Up to $75,000,000 Common Stock We previously entered into a Controlled Equity OfferingSM Sales Agreement, or sales agreement, with Cantor Fitzgerald & Co., or Cantor Fitzgerald, relating to shares of our common stock, $0.001 par value per share, offered by this prospectus. In accordance with the terms of the sales agreement, f |
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| April 12, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| April 12, 2022 |
Exhibit 10.1 This EMPLOYMENT AGREEMENT (?Agreement?), is dated as of April 21, 2021 (the ?Effective Date?), by and between Humanigen, Inc., a Delaware corporation with offices at 533 Airport Blvd, Suite 400, Burlingame, CA 94010 (the ?Corporation?), and Adrian M Kilcoyne, an individual (?Executive?). The Parties to this Agreement are the Corporation and Executive, each referred to individually as |
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| April 12, 2022 |
Executive Overview April 2022 Humanigen, Inc. Exhibit 99.1 Executive Overview April 2022 Humanigen, Inc. 2 Lenzilumab is being developed as a potential treatment for COVID - 19; it is not currently approved or authorized for use in any c ountry Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation are forward - looking statements . Forward - looking state |
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| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 12, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| April 12, 2022 |
April 12, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Jordan Nimitz Re: Humanigen, Inc. Registration Statement on Form S-3 (File No. 333-263132) Acceleration Request Requested Date: April 14, 2022 Requested Time: 4:05 P.M. Eastern Daylight Time Ladies and Gentlemen: Pursuant to Rule 461 under the Securi |
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| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| March 17, 2022 |
HGEN / Humanigen Inc / Cheval Holdings, Ltd. Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 8)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 444863 20 3 (CUSIP Number) Eric S. Wagner, Esq. Kleinberg, Kaplan, Wolff & Cohen |
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| March 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-35798 HUMANIGEN, INC. (Exact name of registrant as spe |
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| March 1, 2022 |
EXHIBIT 21.1 Subsidiaries of Humanigen, Inc. Name State/Country of Incorporation/Formation Status Humanigen, Ltd. United Kingdom Active Humanigen Australia Pty, Ltd. Australia Active Humanigen Europe, Ltd. Ireland Active |
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| March 1, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Humanigen, Inc. (Exact name of Registrant as Specified in its Charter) Table 1 ? Newly Registered Securities and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration |
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| March 1, 2022 |
Description of Registrant’s Director Compensation Policy EXHIBIT 10.20 Humanigen, Inc. Compensation for Non-employee Directors Pursuant to our Director Compensation Program, each director serving on our Board during 2021 who was not our employee was eligible to compensation for his or her service, as follows. Until the fourth quarter of 2021, such fees were payable in cash. Commencing in the fourth quarter of 2021, at the option of the director, such fe |
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| March 1, 2022 |
As filed with the Securities and Exchange Commission on March 1, 2022 As filed with the Securities and Exchange Commission on March 1, 2022 Registration No. |
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| February 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| February 28, 2022 |
Humanigen Reports Year-End 2021 Financial Results Exhibit 99.1 Humanigen Reports Year-End 2021 Financial Results SHORT HILLS, New Jersey -(Business Wire)?February 28, 2022 - Humanigen, Inc. (Nasdaq: HGEN) (Humanigen), a clinical stage biopharmaceutical company focused on preventing and treating an immune hyper-response called ?cytokine storm? with its lead drug candidate, lenzilumab, today reported financial results for the year ended December 31 |
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| February 14, 2022 |
HGEN / Humanigen Inc / Valiant Capital Management, L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 444863203 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| January 5, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2022 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| December 30, 2021 |
HGEN / Humanigen Inc / Murchinson Ltd. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* Humanigen, Inc. |
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| December 2, 2021 |
Exhibit 99.1 Humanigen Discussion of The Lancet Respiratory Medicine Publications & Corporate Update December 2, 2021 2 Lenzilumab is being developed as a potential treatment for COVID - 19, it is not currently approved or authorized for use in any c ountry Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this press releas |
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| December 2, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 2, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-0557 |
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| November 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 23, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to Commission File Number 001-35798 Humanigen, Inc. (Exact |
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| November 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| November 12, 2021 |
Exhibit 99.1 Humanigen Reports Third Quarter and Nine Months Ending September 30, 2021 Financial Results and Provides Corporate Update BURLINGAME, Calif. -(Business Wire)?November 12, 2021 - Humanigen, Inc. (Nasdaq: HGEN) (Humanigen), a clinical stage biopharmaceutical company focused on preventing and treating an immune hyper-response called ?cytokine storm?? with its lead drug candidate, lenzilu |
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| November 9, 2021 |
Credit Suisse Healthcare Conference November 9, 2021 Exhibit 99.1 Credit Suisse Healthcare Conference November 9, 2021 2 Lenzilumab is being developed as a potential treatment for COVID - 19, it is not currently approved or authorized for use in any c ountry Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation are forward - looking statements . Forward - lookin |
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| November 9, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| October 20, 2021 |
Humanigen Elects John Hohneker, MD, and Kevin Xie, PhD, to Board of Directors Exhibit 99.1 Humanigen Elects John Hohneker, MD, and Kevin Xie, PhD, to Board of Directors BURLINGAME, Calif., October 20, 2021 - Humanigen, Inc. (Nasdaq: HGEN) (?Humanigen?), a clinical-stage biopharmaceutical company focused on preventing and treating an immune hyper-response called ?cytokine storm,? announced today that the Company?s Board of Directors (the ?Board?) has elected John Hohneker, M |
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| October 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 19, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| October 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| September 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 14, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-05 |
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| September 14, 2021 |
Exhibit 99.1 Humanigen September 2021 2 Lenzilumab is being developed as a potential treatment for COVID - 19, it is not currently approved or authorized for use in any c ountry Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation are forward - looking statements . Forward - looking statements reflect managem |
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| September 10, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| September 10, 2021 |
Exhibit 99.1 FDA has declined Humanigen?s Emergency Use Authorization (EUA) Request for Lenzilumab in Hospitalized COVID-19 Patients ? FDA has committed to working with Humanigen in the development of lenzilumab and has invited Humanigen to submit additional data as it becomes available ? NIH?s ACTIV-5/BET-B study is expected to provide further data that may support a new EUA request ? Humanigen r |
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| August 30, 2021 |
HGEN / Humanigen Inc / NOMIS BAY LTD. - AMENDMENT TO FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (RULE 13D ? 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 8)* HUMANIGEN, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.001 per share (Title of Class of Securities) 444863 10 4 (CUSIP Number) Nomis Bay LTD Wessex House, |
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| August 13, 2021 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-248485 PROSPECTUS SUPPLEMENT (To Prospectus dated September 14, 2020) $62,700,000 Common Stock In December 2020, we entered into a Controlled Equity OfferingSM Sales Agreement, or sales agreement, with Cantor Fitzgerald & Co., or Cantor Fitzgerald, relating to shares of our common stock, $0.001 par value per share. During the first quarter of 2 |
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| August 12, 2021 |
Form of Non-qualified Stock Option Award Agreement under 2020 Omnibus Incentive Plan Exhibit 10.2 Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan Notice of Stock Option Grant You have been granted the following option to purchase shares of the common stock of Humanigen, Inc. (the ?Company?): Name of Participant: Total Number of Shares: Type of Option: Nonstatutory Stock Option (NSO) Exercise Price per Share: $ Date of Grant: Vesting Commencement Date: Vesting Schedule: Th |
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| August 12, 2021 |
Humanigen Reports Second Quarter 2021 Financial Results Exhibit 99.1 Humanigen Reports Second Quarter 2021 Financial Results BURLINGAME, Calif. -(Businesswire)- August 12, 2021 - Humanigen, Inc. (Nasdaq: HGEN) (?Humanigen?), a clinical stage biopharmaceutical company focused on preventing and treating an immune hyper-response called ?cytokine storm?? with its lead drug candidate, lenzilumab, today provided a corporate and regulatory update and reported |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| August 12, 2021 |
Form of Incentive Stock Option Award Agreement under 2020 Omnibus Incentive Plan Exhibit 10.1 Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan Notice of Stock Option Grant You have been granted the following option to purchase shares of the common stock of Humanigen, Inc. (the ?Company?): Name of Participant: Total Number of Shares: Type of Option: Incentive Stock Option (ISO) Exercise Price per Share: $ Date of Grant: Vesting Commencement Date: Vesting Schedule: This |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to Commission File Number 001-35798 Humanigen, Inc. (Exact name |
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| August 4, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| August 4, 2021 |
Exhibit 99.1 Lenzilumab Treatment May Provide Enhanced Likelihood of Survival Without Ventilation in Hospitalized Black and African-American COVID-19 Patients ? Lenzilumab treatment in Black and African-American patients in the positive LIVE-AIR Phase 3 trial, having a CRP<150 mg/L, resulted in a nearly 9-fold increase in survival without ventilation ? CDC data shows Black and African-American per |
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| August 4, 2021 |
EX-99.2 3 ex992.htm EXHIBIT 99.2 Exhibit 99.2 Confidential LIVE - AIR Phase 3 Study Update: Highest Response Rates Observed in Black and African - American Patients August 2021 2 Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation are forward - looking statements . Forward - looking statements reflect manage |
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| July 20, 2021 |
HGEN / Humanigen Inc / Cheval Holdings, Ltd. Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 7)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 444863 10 4 (CUSIP Number) Eric S. Wagner, Esq. Kleinberg, Kaplan, Wolff & Cohen |
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| July 14, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 14, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| July 14, 2021 |
Exhibit 99.1 Humanigen July 14, 2021 2 Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation are forward - looking statements . Forward - looking statements reflect management's current knowledge, assumptions, judgment, and expectations regarding future performance or events . Although management believes that |
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| June 29, 2021 |
HGEN / Humanigen Inc / Cheval Holdings, Ltd. Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 6)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 444863 10 4 (CUSIP Number) Eric S. Wagner, Esq. Kleinberg, Kaplan, Wolff & Cohen |
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| June 22, 2021 |
HGEN / Humanigen Inc / NOMIS BAY LTD. - AMENDMENT TO FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (RULE 13D ? 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 7)* HUMANIGEN, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.001 per share (Title of Class of Securities) 444863 10 4 (CUSIP Number) Nomis Bay LTD Wessex House, |
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| June 21, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| June 17, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| June 17, 2021 |
Humanigen 2021 Annual Stockholder Meeting June 17 Exhibit 99.1 Humanigen 2021 Annual Stockholder Meeting June 17 2 Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation are forward - looking statements . Forward - looking statements reflect management's current knowledge, assumptions, judgment, and expectations regarding future performance or events . Althoug |
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| June 14, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 5)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 444863 10 4 (CUSIP Number) Eric S. Wagner, Esq. Kleinberg, Kaplan, Wolff & Cohen |
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| June 9, 2021 |
HGEN / Humanigen Inc / NOMIS BAY LTD. - AMENDMENT TO FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (RULE 13D ? 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 6)* HUMANIGEN, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.001 per share (Title of Class of Securities) 444863 10 4 (CUSIP Number) Nomis Bay LTD Wessex House, |
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| May 28, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 j5282108k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (C |
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| May 28, 2021 |
Humanigen Submits Application to FDA for Emergency Use Authorization for Lenzilumab in COVID-19 Exhibit 99.1 Humanigen Submits Application to FDA for Emergency Use Authorization for Lenzilumab in COVID-19 BURLINGAME, Calif.-(BUSINESS WIRE)-Humanigen, Inc. (Nasdaq:HGEN) (?Humanigen?), a clinical-stage biopharmaceutical company focused on preventing and treating an immune hyper-response called ?cytokine storm? with its lead drug candidate, lenzilumab, today announced that the company submitted |
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| May 27, 2021 |
HGEN / Humanigen Inc / NOMIS BAY LTD. - AMENDMENT TO FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (RULE 13D ? 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 5)* HUMANIGEN, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.001 per share (Title of Class of Securities) 444863 10 4 (CUSIP Number) Nomis Bay LTD Wessex House, |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR oTRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exact nam |
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| May 13, 2021 |
Humanigen Reports First Quarter 2021 Financial Results EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Humanigen Reports First Quarter 2021 Financial Results BURLINGAME, Calif. -(Businesswire)- May 13, 2021 - Humanigen, Inc. (Nasdaq: HGEN) (“Humanigen”), a clinical stage biopharmaceutical company focused on preventing and treating an immune hyper-response called ‘cytokine storm’ with its lead drug candidate, lenzilumab™, today reported financial results |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| May 13, 2021 |
EXHIBIT 10.3 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT is made and dated as of March 10, 2021 and is entered into by and among HUMANIGEN, INC., a Delaware corporation, and each of the Qualified Subsidiaries (hereinafter collectively referred to as the ?Borrower?), the several banks and other financial institutions or entities from time to time parties to this Agreement (collecti |
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| April 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 20, 2021 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| April 20, 2021 |
Exhibit 99.1 Humanigen Reports Positive Data with Lenzilumab in the ZUMA-19 CAR-T Phase 1b Study in DLBCL and Plans to Initiate a Potential Registrational Study ? At the recommended Phase 2 dose, lenzilumab in combination with CAR-T, demonstrated a 100% objective response rate (ORR) and no severe cytokine release syndrome or severe neurotoxicity ? Lenzilumab reduced IL-6, CRP, ferritin, MCP-1, IL- |
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| April 2, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 p3312138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission |
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| April 2, 2021 |
Exhibit 1.1 HUMANIGEN, INC. 5,000,000 Shares of common stock, par value $0.001 per share Underwriting Agreement March 30, 2021 Jefferies LLC Credit Suisse Securities (USA) LLC Cantor Fitzgerald & Co. As Representatives of the several Underwriters listed in Schedule 1 hereto c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 c/o Credit Suisse Securities (USA) LLC 11 Madison Avenue New Yo |
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| April 1, 2021 |
Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-248485 prospectus supplement (To prospectus dated September 14, 2020) 5,000,000 Shares Common Stock Humanigen, Inc. is offering 5,000,000 shares of its common stock, $0.001 par value. Our common stock is listed on the Nasdaq Capital Market under the symbol “HGEN.” On March 30, 2021, the last reported sale price of our common stock as |
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| March 29, 2021 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Humanigen Reports Positive Phase 3 Topline Results Demonstrating That Lenzilumab™ Improves Survival Without Need for Mechanical Ventilation in Hospitalized Patients With COVID-19 · Lenzilumab improved the relative likelihood of survival without need for invasive mechanical ventilation (IMV) by 54%, achieving the primary endpoint of the Phase 3 study · |
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| March 29, 2021 |
Humanigen Lenzilumab Phase 3 Results 3.29.21 EX-99.2 3 ex992.htm EXHIBIT 99.2 Exhibit 99.2 Humanigen Lenzilumab Phase 3 Results 3.29.21 2 Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation are forward - looking statements . Forward - looking statements reflect management's current knowledge, assumptions, judgment, and expectations regarding future per |
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| March 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other Jurisdiction of Incorporation) 001-35798 (Commission File No.) 77-055723 |
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| March 29, 2021 |
Subject to Completion, Dated MArch 29, 2021. Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-248485 The information contained in this preliminary prospectus supplement is not complete and may be changed. A registration statement has been filed with the Securities and Exchange Commission and is effective. This prospectus supplement is not an offer to sell these securities and is not soliciting an offer to buy these securities |
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| March 29, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| March 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (RULE 13D – 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 4)* HUMANIGEN, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.001 per share (Title of Class of Securities) 444863 10 4 (CUSIP Number) Nomis Bay LTD Wessex House, |
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| March 10, 2021 |
Consulting Agreement, dated as of March 6, 2021, by and between the Registrant and David Tousley. Exhibit 10.20 MASTER CONSULTING AGREEMENT This agreement (?Agreement?) is made on March 6, 2021 (?Effective Date?), by and between David Tousley, doing business as Stratium Consulting Services (?Consultant?), and Humanigen, Inc., a Delaware corporation, whose mailing address is 533 Airport Boulevard, Suite 400, Burlingame, CA 94010 (?Client?). Consultant offers general business consulting services |
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| March 10, 2021 |
Exhibit 4.5 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Humanigen, Inc. (?we,? ?our,? ?us,? or the ?Company?) has the following securities described below registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?). The following summary of the terms of our capital stock is based upon ou |
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| March 10, 2021 |
EXHIBIT 10.17 EMPLOYMENT AGREEMENT (?Agreement?), as of July 6, 2020, by and between Humanigen, Inc., a Delaware corporation with offices at 533 Airport Blvd, Suite 400, Burlingame, CA 94010 (the ?Corporation?), and Dr. Dale Chappell, an individual (?Executive?). W I T N E S S E T H WHEREAS, the Corporation desires to employ Executive as its Chief Scientific Officer upon the terms and conditions h |
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| March 10, 2021 |
EXHIBIT 21.1 Subsidiaries of Humanigen, Inc. Name State/Country of Incorporation/Formation Status Humanigen, Ltd. United Kingdom Inactive Humanigen Australia Pty, Ltd. Australia Active |
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| March 10, 2021 |
EXHIBIT 10.5 INDEMNITY AGREEMENT THIS INDEMNITY AGREEMENT (this ?Agreement?) dated as of , 2020, is made by and between Humanigen, Inc., a Delaware corporation (the ?Company?), and [Name of Individual] (?Indemnitee?). RECITALS: A. The Company desires to attract and retain the services of highly qualified individuals as directors, officers, employees and agents. B. The Company?s bylaws (the ?Bylaws |
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| March 10, 2021 |
Exhibit 10.19 A COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT Between Joint Program Executive Office for Chemical, Biological, Radiological, and Nuclear Defense (JPEO-CBRND) (Laboratory) Biomedical Advanced Research and Development Authority, Office of the Assistant Secretary for Preparedness and Response (BARDA) (Laboratory) and Humanigen (Cooperator) Collectively Cooperators and Laboratories ar |
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| March 10, 2021 |
Exhibit 10.18 CERTAIN IDENTIFIED INFORMATION, MARKED BY [***], HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE COMPANY, IF PUBLICLY DISCLOSED. LENZILUMAB LICENSE AGREEMENT AMONG HUMANIGEN, INC. KPM TECH CO., LTD. AND TELCON RF PHARMACEUTICAL, INC. DATED: 3 NOVEMBER 2020 CONFIDENTIAL CONTENTS Section Title Page 1 Definitions |
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| March 10, 2021 |
Employment Agreement, dated as of July 6, 2020, by and between the Registrant and David Tousley. EXHIBIT 10.16 EMPLOYMENT AGREEMENT (?Agreement?), as of July 6, 2020, by and between Humanigen, Inc., a Delaware corporation with offices at 533 Airport Blvd, Suite 400, Burlingame, CA 94010 (the ?Corporation?), and David L. Tousley, an individual (?Executive?). W I T N E S S E T H WHEREAS, the Corporation desires to employ Executive as its Chief Accounting and Administrative Officer, Corporate Se |
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| March 10, 2021 |
Employment Agreement dated as of August 1, 2020, by and between the Registrant and Timothy Morris. EXHIBIT 10.15 This EMPLOYMENT AGREEMENT (?Agreement?), is dated as of August 1, 2020 (the ?Effective Date?), by and between Humanigen, Inc., a Delaware corporation with offices at 533 Airport Blvd, Suite 400, Burlingame, CA 94010 (the ?Corporation?), and Timothy E. Morris, an individual (?Executive?). The Parties to this Agreement are the Corporation and Executive, referred to individually as the |
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| March 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2020 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-35798 HUMANIGEN, INC. (Exact name of registrant as spe |
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| March 10, 2021 |
Exhibit 10.14 This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (?Agreement?), is dated as of October 29, 2020 (the ?Effective Date?), by and between Humanigen, Inc., a Delaware corporation with its principal office at 533 Airport Blvd, Suite 400, Burlingame, CA 94010 (the ?Corporation?), and Dr. Cameron Durrant, an individual (?Executive?). The Parties to this Agreement are the Corporation and Execu |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 444863203 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| February 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| January 29, 2021 |
Exhibit 99.1 Humanigen Completes Enrollment in Phase 3 Study of Lenzilumab in Hospitalized Patients with COVID-19 Burlingame, CA – January 29, 2021 – Humanigen, Inc. (NASDAQ:HGEN) (“Humanigen”), a clinical stage biopharmaceutical company focused on preventing and treating an immune hyper-response called cytokine storm with its lead drug candidate lenzilumab™, today announced it has completed enrol |
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| January 29, 2021 |
Financial Statements and Exhibits, Other Events - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| January 22, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| January 22, 2021 |
Exhibit 99.1 Humanigen Announces the Addition of BARDA and Expansion of CRADA with the U.S. Government to Develop Lenzilumab for COVID-19 · The Cooperative Research and Development Agreement (CRADA) with the Department of Defense (DoD) and the Biomedical Advanced Research and Development Authority (BARDA) supports the development of lenzilumab as a potential treatment for patients with COVID-19 Bu |
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| January 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| January 14, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| January 14, 2021 |
EX-99.1 3 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Humanigen and EVERSANA Announce Partnership to Support the Launch and Commercialization of Lenzilumab for the Treatment of COVID-19 Burlingame, CA, and Chicago, IL – January 10, 2021 – Humanigen, Inc. (HGEN) (Humanigen), a clinical-stage biopharmaceutical company focused on preventing and treating an immune hyper-response called cytokine storm with its |
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| January 14, 2021 |
EX-10.1 2 ex101.htm EXHIBIT 10.1 Exhibit 10.1 CERTAIN IDENTIFIED INFORMATION, MARKED BY [***], HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE COMPANY, IF PUBLICLY DISCLOSED. MASTER SERVICE AGREEMENT This MASTER SERVICE AGREEMENT (this “Agreement”) is made and entered into as of January 8, 2021 (the “Effective Date”) by and |
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| January 11, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| January 11, 2021 |
Exhibit 99.1 Humanigen January 2021 2 Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation, including information concerning our po ssible or assumed future results of operations and expenses, business strategies and plans, competitive position, business and industry environment and potential gr owth opportun |
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| January 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 1, 2021 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| December 31, 2020 |
Exhibit 1.1 HUMANIGEN, INC. Shares of Common Stock (par value $0.001 per share) Controlled Equity OfferingSM Sales Agreement December 31, 2020 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Ladies and Gentlemen: Humanigen, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. (the “Agent”), as follows: 1. Issuance and Sale |
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| December 31, 2020 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-248485 PROSPECTUS SUPPLEMENT (To Prospectus dated September 14, 2020) $100,000,000 Common Stock We have entered into a Controlled Equity OfferingSM Sales Agreement, or sales agreement, with Cantor Fitzgerald & Co., or Cantor Fitzgerald, relating to shares of our common stock, $0.001 par value per share, offered by this prospectus supplement and |
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| December 31, 2020 |
Financial Statements and Exhibits, Other Events - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| November 30, 2020 |
10,403,037 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 10,403,037 Shares of Common Stock This prospectus relates to the resale or other disposition, from time to time, by the selling stockholders named in this prospectus or their pledgees, donees, transferees, or other successors in interest of up to 10,403,037 shares of our common stock issued pursuant to a June 1, 2020 securities |
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| November 13, 2020 |
- AMENDMENT NO. 1 TO FORM S-1 ON FORM S-3 As filed with the Securities and Exchange Commission on November 13, 2020 Registration No. |
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| November 12, 2020 |
Humanigen, Inc. 16,512,716 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 9 (To Prospectus dated August 5, 2020) Humanigen, Inc. 16,512,716 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| November 12, 2020 |
Exhibit 99.1 Humanigen Reports Third Quarter and Nine Months Ended September 30, 2020 Financial Results -Underwritten Public Offering and Nasdaq Listing Completed in September 2020 -Positive Phase 3 Interim Analysis Reported with an Estimated 37 percent More Recoveries Observed in the Lenzilumab Arm Versus Current Standard of Care Burlingame, CA ? November 11, 2020 ? Humanigen, Inc., (HGEN) (?Huma |
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| November 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| November 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR oTRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exact |
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| November 6, 2020 |
EX-99.2 3 ex992.htm EXHIBIT 99.2 Exhibit 99.2 Humanigen Announces Positive Interim Phase 3 Data of Lenzilumab™ in Patients Hospitalized with COVID-19 · Interim data suggest clinically meaningful impact on patient recovery from COVID-19 with an estimated 37 percent more recoveries observed in lenzilumab arm of Phase 3 trial versus current standard of care · Data safety monitoring board recommendati |
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| November 6, 2020 |
Exhibit 99.3 Humanigen November 2020 2 Cautionary Note Regarding Forward - Looking Statements All statements other than statements of historical facts contained in this presentation, including information concerning the of fering, our possible or assumed future results of operations and expenses, business strategies and plans, competitive position, business and industry environment an d p otential |
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| November 6, 2020 |
Exhibit 99.1 Humanigen Announces Cooperative Research and Development Agreement with the Department of Defense to Develop Lenzilumab for COVID-19 · The Cooperative Research and Development Agreement (CRADA) with the Department of Defense (DoD) in support of Operation Warp Speed (OWS) aims to improve the availability of lenzilumab for patients with COVID-19 · Humanigen’s development efforts complem |
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| November 6, 2020 |
Humanigen, Inc. 16,512,716 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 8 (To Prospectus dated August 5, 2020) Humanigen, Inc. 16,512,716 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| November 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| November 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| November 4, 2020 |
Humanigen, Inc. 16,512,716 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 7 (To Prospectus dated August 5, 2020) Humanigen, Inc. 16,512,716 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| November 4, 2020 |
Exhibit 99.1 Humanigen Executes Licensing Agreement for Lenzilumab™ in COVID-19 with KPM Tech/Telcon RF Pharmaceutical for South Korea and the Philippines · Agreement provides Humanigen up to US$20 million in milestones and double-digit royalties on product sales · Transaction supports the Humanigen Asia-Pacific regional corporate development strategy Burlingame, CA, November 3, 2020 – Humanigen, |
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| October 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 5, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| October 7, 2020 |
Humanigen, Inc. 16,512,716 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 6 (To Prospectus dated August 5, 2020) Humanigen, Inc. 16,512,716 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| September 22, 2020 |
Activist Investment - AMENDMENT NO. 4 TO THE SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 4)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 444863 10 4 (CUSIP Number) Eric S. Wagner, Esq. Kleinberg, Kaplan, Wolff & Cohen |
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| September 21, 2020 |
Humanigen, Inc. 82,563,584 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 5 (To Prospectus dated August 5, 2020) Humanigen, Inc. 82,563,584 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| September 21, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| September 21, 2020 |
Exhibit 1.1 J.P. MORGAN SECURITIES LLC JEFFERIES LLC HUMANIGEN, INC. 8,000,000 Shares of common stock, par value $0.001 per share Underwriting Agreement September 17, 2020 J.P. Morgan Securities LLC Jefferies LLC As Representatives of the several Underwriters listed in Schedule 1 hereto c/o J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 c/o Jefferies LLC 520 Madison Avenue |
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| September 18, 2020 |
Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-248485 prospectus supplement (To prospectus dated September 14, 2020) 8,000,000 shares Common Stock Humanigen, Inc. is offering 8,000,000 shares of its common stock. Our common stock is currently listed for quotation on the OTCQB Venture Market operated by OTC Markets Group, Inc. We completed a l-for-5 reverse stock split on September |
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| September 15, 2020 |
Subject to Completion, Dated September 15, 2020. Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-248485 The information contained in this preliminary prospectus supplement is not complete and may be changed. A registration statement has been filed with the Securities and Exchange Commission and is effective. This prospectus supplement is not an offer to sell these securities and is not soliciting an offer to buy these securities |
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| September 15, 2020 |
Registration Statement on Form 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 HUMANIGEN, INC. (Exact name of registrant as specified in its charter) Delaware 77-0557236 (State or other jurisdiction of incorporation or organization) (IRS Employer Identification No.) 533 Airpor |
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| September 14, 2020 |
As filed with the Securities and Exchange Commission on September 14, 2020 Registration No. |
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| September 11, 2020 |
As filed with the Securities and Exchange Commission on September 11, 2020 Registration No. |
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| September 11, 2020 |
HUMANIGEN, INC. 533 Airport Boulevard, Suite 400 Burlingame, California 94010 September 11, 2020 BY EDGAR Mr. Tim Buchmiller Mr. Joseph McCann United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Humanigen, Inc. Registration Statement on Form S-3 File No. 333-248485 Ladies and Gentlemen: The undersigned registrant hereby req |
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| September 11, 2020 |
Form of Non-qualified Stock Option Award Agreement. Exhibit 10.3 Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan Notice of Stock Option Grant You have been granted the following option to purchase shares of the common stock of Humanigen, Inc. (the “Company”): Name of Participant: Total Number of Shares: Type of Option: Nonstatutory Stock Option (NSO) Exercise Price per Share: $ Date of Grant: Vesting Commencement Date: Vesting Schedule: Th |
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| September 11, 2020 |
Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan, effective September 11, 2020. Exhibit 10.1 Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan Contents Article 1. Establishment, Objectives, Duration and Effect on Prior Awards 1 Article 2. Definitions 1 Article 3. Administration 5 Article 4. Shares Subject to the Plan and Maximum Awards and Substituted Awards 6 Article 5. Eligibility and Participation 8 Article 6. Stock Options 8 Article 7. Stock Appreciation Rights 10 |
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| September 11, 2020 |
Form of Incentive Stock Option Award Agreement under 2020 Omnibus Incentive Plan Exhibit 10.2 Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan Notice of Stock Option Grant You have been granted the following option to purchase shares of the common stock of Humanigen, Inc. (the “Company”): Name of Participant: Total Number of Shares: Type of Option: Incentive Stock Option (ISO) Exercise Price per Share: $ Date of Grant: Vesting Commencement Date: Vesting Schedule: This |
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| September 11, 2020 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HUMANIGEN, INC. a Delaware corporation Pursuant to Section 242 of the General Corporation Law of the State of Delaware (the “DGCL”), Humanigen, Inc., a corporation organized and existing under the DGCL (the “Corporation”), hereby certifies as follows: A. On July 27, 2020, the Board of Directors of the |
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| September 11, 2020 |
Humanigen, Inc. 82,563,584 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 4 (To Prospectus dated August 5, 2020) Humanigen, Inc. 82,563,584 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| September 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 11, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| September 4, 2020 |
Humanigen, Inc. 82,563,584 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 3 (To Prospectus dated August 5, 2020) Humanigen, Inc. 82,563,584 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| September 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 4, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| August 28, 2020 |
As filed with the Securities and Exchange Commission on August 28, 2020 Registration No. |
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| August 17, 2020 |
Humanigen, Inc. 82,563,584 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 2 (To Prospectus dated August 5, 2020) Humanigen, Inc. 82,563,584 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| August 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ý Definitive Information Statement Humani |
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| August 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR oTRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exact name |
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| August 10, 2020 |
Exhibit 99.1 0 “Therapeutics with the best data reported in the past month are remdesivir , lenzilumab and dexamethasone.” BioWorld , July 2020, reporting on COVID - 19 therapeutics Confidential Humanigen August 2020 1 Cautionary Note Regarding Forward - Looking Statements Certain statements, beliefs and opinions in this presentation are forward looking, which reflect current expectations and pro |
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| August 10, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| August 10, 2020 |
Humanigen, Inc. 82,563,584 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus Supplement No. 1 (To Prospectus dated August 5, 2020) Humanigen, Inc. 82,563,584 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-239161) declared effective by the Securities and Exchange Commission on August 5, 2020, and does not cover securities beyon |
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| August 5, 2020 |
82,563,584 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-239161 Prospectus 82,563,584 Shares of Common Stock This prospectus relates to the resale or other disposition, from time to time, by the selling stockholders named in this prospectus or their pledgees, donees, transferees, or other successors in interest of up to 82,563,584 shares of our common stock, comprising (i) 82,528,718 shares |
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| August 3, 2020 |
Form of Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan EX-10.23 4 ex1023.htm EXHIBIT 10.23 Exhibit 10.23 Form of Humanigen, Inc. 2020 Omnibus Incentive Compensation Plan Contents Article 1. Establishment, Objectives, Duration and Effect on Prior Awards 1 Article 2. Definitions 1 Article 3. Administration 5 Article 4. Shares Subject to the Plan and Maximum Awards and Substituted Awards 6 Article 5. Eligibility and Participation 8 Article 6. Stock Optio |
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| August 3, 2020 |
As filed with the Securities and Exchange Commission on August 3, 2020 Registration No. |
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| August 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ý Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement Humani |
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| August 3, 2020 |
Exhibit 3.1.4 FORM OF CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HUMANIGEN, INC. a Delaware corporation Pursuant to Section 242 of the General Corporation Law of the State of Delaware (the “DGCL”), Humanigen, Inc., a corporation organized and existing under the DGCL (the “Corporation”), hereby certifies as follows: A. On July 27, 2020, the Board of Directo |
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| August 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| August 3, 2020 |
HUMANIGEN, INC. 533 Airport Boulevard, Suite 400 Burlingame, California 94010 August 3, 2020 BY EDGAR Mr. Tim Buchmiller Mr. Joseph McCann United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Humanigen, Inc. Registration Statement on Form S-1 File No. 333-239161 Ladies and Gentlemen: The undersigned registrant hereby request |
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| August 3, 2020 |
Exhibit 3.1.3 FORM OF CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HUMANIGEN, INC. a Delaware corporation Pursuant to Section 242 of the General Corporation Law of the State of Delaware (the “DGCL”), Humanigen, Inc., a corporation organized and existing under the DGCL (the “Corporation”), hereby certifies as follows: A. On July 27, 2020, the Board of Directo |
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| July 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| July 30, 2020 |
Exhibit 10.1 IND SPONSOR: DMID CLINICAL TRIAL AGREEMENT BETWEEN THE DIVISION OF MICROBIOLOGY AND INFECTIOUS DISEASES THE NATIONAL INSTITUTE OF ALLERGY AND INFECTIOUS DISEASES (DMID/NIAID) AND Humanigen, Inc Regarding DMID Protocol # 20-0013 HGEN-003-009 Entitled “A Multicenter Platform Trial of Putative Therapeutics for the Treatment of COVID-19 in Hospitalized Adults” [Short Title: Big Effect Tri |
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| July 21, 2020 |
HGEN / Humanigen, Inc. / NOMIS BAY LTD. - AMENDMENT TO FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (RULE 13D – 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 3)* HUMANIGEN, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.001 per share (Title of Class of Securities) 444863 10 4 (CUSIP Number) Nomis Bay LTD Wessex House, |
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| July 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| July 9, 2020 |
As filed with the Securities and Exchange Commission on July 9, 2020 As filed with the Securities and Exchange Commission on July 9, 2020 Registration No. |
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| July 9, 2020 |
1401 Eye Street NW, Suite 800, Washington, DC 20005 · (202) 783-3300 July 9, 2020 1401 Eye Street NW, Suite 800, Washington, DC 20005 ? (202) 783-3300 July 9, 2020 VIA EDGAR Mr. |
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| July 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 6, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| June 16, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| June 16, 2020 |
As filed with the Securities and Exchange Commission on June 16, 2020 Registration No. |
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| June 16, 2020 |
Exhibit 99.1 0 Humanigen June 2020 “Part of the reason why some people get so severely ill... is what we call a Cytokine Storm... it’s actually the immune response that starts destroying your lungs and your tissue, and so if you can interrupt that immune response... you can avert some of the destructive effects of the virus...” - Scott Gottlieb, former FDA Commissioner Confidential 1 Disclaimer Th |
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| June 15, 2020 |
Exhibit 10.21 EXECUTION COPY REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of June 2, 2020, by and among Humanigen, Inc., a Delaware corporation (the “Company”), and those certain investors (the “Investors”) party to that certain Securities Purchase Agreement with the Company dated as of June 1, 2020 (as amended, restated, supplemented or otherwise modifi |
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| June 15, 2020 |
Exhibit 10.20 EXECUTION VERSION SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (“Agreement”) is made as of June 1, 2020 by and among Humanigen, Inc., a Delaware corporation (the “Company”), and the Investors identified on Exhibit A attached hereto (each an “Investor” and collectively the “Investors”). Recitals A. The Company and the Investors are executing and delivering this Agr |
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| June 15, 2020 |
As filed with the Securities and Exchange Commission on June 15, 2020 Registration No. |
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| June 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Humanigen, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 444863104 (CUSIP Number) June 2, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| June 12, 2020 |
KBIO / KaloBios Pharmaceuticals, Inc. / Valiant Capital Management, L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 444863104 (CUSIP Number) June 2, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| June 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| May 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR oTRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exact nam |
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| May 15, 2020 |
Form of March 2020 Convertible Note. Exhibit 10.3 THIS NOTE AND THE COMMON STOCK ISSUABLE UPON CONVERSION OF THIS NOTE HAVE NOT BEEN AND WILL NOT BE REGISTERED WITH THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE PURSUANT TO AN EXEMPTION FROM REGISTRATION PROVIDED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND THE RULES AND REGULATIONS PROMULGATED THEREUNDER US $[Principal Amount] HUM |
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| May 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) ( |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| April 7, 2020 |
HGEN / Humanigen, Inc. / Cheval Holdings, Ltd. - APRIL 2, 2020 Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 3)* Humanigen, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 444863 10 4 (CUSIP Number) Eric S. Wagner, Esq. Kleinberg, Kaplan, Wolff & Cohen |
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| April 6, 2020 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| March 23, 2020 |
HGEN / Humanigen, Inc. POS AM - - As filed with the Securities and Exchange Commission on March 23, 2020 Registration No. |
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| March 23, 2020 |
Form of March 2020 Convertible Note. Exhibit 10.19 THIS NOTE AND THE COMMON STOCK ISSUABLE UPON CONVERSION OF THIS NOTE HAVE NOT BEEN AND WILL NOT BE REGISTERED WITH THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE PURSUANT TO AN EXEMPTION FROM REGISTRATION PROVIDED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND THE RULES AND REGULATIONS PROMULGATED THEREUNDER (THE "1933 ACT”) US $[l] |
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| March 23, 2020 |
Form of March 20, 2020 Amendment to Secured Bridge Note. Exhibit 10.1 Humanigen, Inc. 533 Aiport Blvd., Suite 400 Burlingame, CA 94010 March 20, 2020 [Name and Address of Lender] Re: Amendment Number 3 to Secured Bridge Note Dear [Name of Lender]: Reference is made to the Secured Bridge Note (the “Note”), dated as of June 28, 2019 and as amended on October 8, 2019 and December 30, 2019, by and between Humanigen, Inc. (the “Borrower”) and [ ] (the “Lende |
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| March 23, 2020 |
Exhibit 10.2 Humanigen, Inc. 533 Aiport Blvd., Suite 400 Burlingame, CA 94010 March 20, 2020 [Name and Address of Lender] Re: Amendment Number 2 to Secured Bridge Note Dear [Name of Lender]: Reference is made to the Secured Bridge Note (the “Note”), dated as of November 12 and as amended on December 6, 2019, by and between Humanigen, Inc. (the “Borrower”) and [ ] (the “Lender”), pursuant to which |
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| March 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| March 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 19, 2020 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No. |
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| March 16, 2020 |
Exhibit 4.5 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Humanigen, Inc. (“we,” “our,” “us,” or the “Company”) has the following securities described below registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). The following summary of the terms of our capital stock is based upon ou |
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| March 16, 2020 |
HGEN / Humanigen, Inc. 10-K - Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2019 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-35798 HUMANIGEN, INC. (Exact name of registrant as spe |
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| March 16, 2020 |
EXHIBIT 21.1 Subsidiaries of Humanigen, Inc. Name State/Country of Incorporation/Formation Status KaloBios, Ltd. United Kingdom Inactive |
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| January 31, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2020 (December 16, 2019) Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporati |
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| January 31, 2020 |
Humanigen, Inc. 14,500,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-234801 Prospectus Supplement No. 3 (To Prospectus dated December 2, 2019) Humanigen, Inc. 14,500,000 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-234801) declared effective by the Securities and Exchange Commission on December 2, 2019 and does not cover securities be |
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| December 31, 2019 |
Form of December 30, 2019 Amendment to Secured Bridge Note. Exhibit 10.1 Humanigen, Inc. 533 Aiport Blvd., Suite 400 Burlingame, CA 94010 December 30, 2019 [Lender’s Name and Address] Re: Amendment Number 2 to Secured Bridge Note Dear [Name of Officer of Lender]: Reference is made to the Secured Bridge Note (the “Note”), dated as of June 28, 2019 and as amended on October 8, 2019, by and between Humanigen, Inc. (the “Borrower”) and [Lender’s Name] (the “Le |
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| December 31, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| December 31, 2019 |
Humanigen, Inc. 14,500,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-234801 Prospectus Supplement No. 2 (To Prospectus dated December 2, 2019) Humanigen, Inc. 14,500,000 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-234801) declared effective by the Securities and Exchange Commission on December 2, 2019 and does not cover securities be |
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| December 16, 2019 |
Humanigen Adds to Board of Directors Exhibit 99.1 Humanigen Adds to Board of Directors Burlingame, CA, December 16, 2019 – Humanigen, Inc., (HGEN) (“Humanigen”), a clinical stage biopharmaceutical company focused on the development of next generation CAR-T and other cell therapies, announced today that Cheryl Buxton, Korn Ferry’s Global Sector Leader of Pharmaceuticals, has agreed to join the Humanigen board of directors. “I am very |
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| December 16, 2019 |
Humanigen, Inc. 14,500,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-234801 Prospect Supplement No. 1 (To Prospectus dated December 2, 2019) Humanigen, Inc. 14,500,000 Shares of Common Stock This prospectus supplement relates to the Registration Statement on Form S-1 (File No. 333-234801) declared effective by the Securities and Exchange Commission on December 2, 2019 and does not cover securities beyo |
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| December 16, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File |
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| December 4, 2019 |
Humanigen, Inc. 14,500,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-234801 Prospectus Humanigen, Inc. 14,500,000 Shares of Common Stock This prospectus relates to the resale or other disposition from time to time of up to 14,500,000 shares of common stock, par value $0.001, of Humanigen, Inc., by Lincoln Park Capital Fund, LLC, or Lincoln Park or the selling stockholder. The shares of common stock bei |
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| November 27, 2019 |
KBIO / KaloBios Pharmaceuticals, Inc. CORRESP - - HUMANIGEN, INC. 533 Airport Boulevard, Suite 400 Burlingame, California 94010 November 27, 2019 BY EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549-3561 Attention: Christine Westbrook Re: Humanigen, Inc. Registration Statement on Form S-1 Filed November 20, 2019 File No. 333-234801 Ladies and Gentlemen: The undersigned registran |
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| November 20, 2019 |
KBIO / KaloBios Pharmaceuticals, Inc. S-1 - Registration Statement - As filed with the Securities and Exchange Commission on November 20, 2019 Registration No. |
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| November 20, 2019 |
EXHIBIT 21.1 Subsidiaries of Humanigen, Inc. Name State/Country of Incorporation/Formation Status KaloBios, Ltd. United Kingdom Inactive |
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| November 12, 2019 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this "Agreement"), dated as of November 8, 2019, by and between HUMANIGEN, INC., a Delaware corporation (the "Company"), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (together with it permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise defined herein shall have the re |
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| November 12, 2019 |
Exhibit 10.1 PURCHASE AGREEMENT PURCHASE AGREEMENT (the “Agreement”), dated as of November 8, 2019, by and between HUMANIGEN, INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”). WHEREAS: Subject to the terms and conditions set forth in this Agreement, the Company wishes to sell to the Investor, and the Investor w |
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| November 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File N |
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| October 28, 2019 |
KBIO / KaloBios Pharmaceuticals, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR o TRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exa |
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| October 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 8, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No |
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| October 8, 2019 |
Form of October 8, 2019 Amendment to Secured Bridge Note. Exhibit 10.1 Humanigen, Inc. 533 Aiport Blvd., Suite 400 Burlingame, CA 94010 October 8, 2019 [Lender’s Name and Address] Re: Amendment Number 1 to Secured Bridge Note Dear [Name of Officer of Lender]: Reference is made to the Secured Bridge Note (the “Note”), dated as of June 28, 2019, by and between Humanigen, Inc. (the “Borrower”) and [Lender’s Name] (the “Lender”), pursuant to which the Lender |
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| August 13, 2019 |
Exhibit 10.3 SECURED BRIDGE NOTE $[NUMBER] June 28, 2019 For value received, the undersigned, Humanigen, Inc., a Delaware corporation (“Borrower”), promises to pay to the order of [HOLDER NAME], and its successors and assigns (together with its successors and assigns, “Lender”), in lawful money of the United States of America, the principal sum of $[NUMBER] with interest thereon to be computed fro |
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| August 13, 2019 |
Clinical Collaboration Agreement, dated May 30, 2019 between the Registrant and Kite Pharma, Inc. Exhibit 10.2 CLINICAL COLLABORATION AGREEMENT BY AND BETWEEN HUMANIGEN, INC. AND KITE PHARMA, INC. Table of Contents Page ARTICLE 1 DEFINITIONS 1 ARTICLE 2 CONDUCT OF THE STUDY; REGULATORY MATTERS 6 2.1 Overview 6 2.2 Sponsor 6 2.3 Collaboration IND; Protocol. 6 2.4 Enrollment 6 2.5 Project Participants 6 2.6 Regulatory Matters. 7 2.7 Adverse Experience Reporting. 7 2.8 Documentation, Updates and |
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| August 13, 2019 |
Form of 2019 Convertible Note. Exhibit 10.1 THE SECURITIES REPRESENTED HEREBY (THE “SECURITIES”) HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY STATE SECURITIES LAWS AND MAY NOT BE SOLD, ASSIGNED, TRANSFERRED, PLEDGED, ENCUMBERED, HYPOTHECATED, EXCHANGED OR OTHERWISE DISPOSED OF UNLESS REGISTERED UNDER THE SECURITIES ACT AND UNDER APPLICABLE STATE SECURITIES LAWS OR THE COMP |
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| August 13, 2019 |
KBIO / KaloBios Pharmaceuticals, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR oTRANSITION REPORT UNDER SECTION 13 OF 15(d) OF THE EXCHANGE ACT OF 1934 From the transition period from to . Commission File Number 001-35798 Humanigen, Inc. (Exact name |
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| July 22, 2019 |
Exhibit 99.1 Humanigen Secures Exclusive Worldwide License for the Prevention of GvHD through GM-CSF Neutralization from the University of Zurich · Expands Humanigen’s extensive intellectual property portfolio to include prevention of Graft-versus-Host Disease (GvHD) · Strengthens Humanigen’s leadership position and platform in granulocyte macrophage-colony stimulating factor (GM-CSF) neutralizati |
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| July 22, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 22, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| July 5, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| July 2, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 2, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
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| July 2, 2019 |
Exhibit 99.1 Humanigen Secures Exclusive Worldwide License to Gene-Editing Technology from Mayo Clinic to Improve CAR-T · Expands Humanigen’s intellectual property portfolio to include gene-edited CAR-T cells · Builds and further strengthens Humanigen’s leadership position in GM-CSF neutralization · GM-CSF neutralization has the potential to break the efficacy/toxicity linkage of CAR-T Burlingame, |
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| July 1, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2019 Humanigen, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35798 77-0557236 (State or other Jurisdiction of Incorporation) (Commission File No.) |
