| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HLGN | Common Stock | Purchase | $47.8K | +7.36K | +0.78% | $6.49* | 946K | Sep 1, 2023 | Direct | F1, F2, F3 |
| holding | HLGN | Common Stock | 67K | Sep 1, 2023 | Direct | F2, F4 |
| Id | Content |
|---|---|
| F1 | This transaction was executed in multiple trades at prices ranging from $6.18 to $7.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F2 | On August 31, 2023, the issuer effected a 1-for-35 reverse stock split (the "Reverse Stock Split") of its outstanding shares of Common Stock. The numbers of shares of Common Stock reported on this Form 4 have been adjusted to reflect the Reverse Split unless otherwise noted. |
| F3 | These shares are owned by Nant Capital LLC ("Nant Capital"), who is a member of a "group" with Dr. Patrick Soon-Shiong for purposes of Section 13(d) of the Exchange Act. Additionally, California Capital Equity, LLC ("CalCap") directly owns all of the equity interests of Nant Capital and Dr. Soon-Shiong directly owns all of the equity interests of CalCap. As a result, CalCap and Dr. Soon-Shiong may be deemed to beneficially own, and share with Nant Capital the power to vote and direct the vote, and the power to dispose or direct the disposition of, the shares beneficially owned by Nant Capital. |
| F4 | These shares are solely owned by Dr. Patrick Soon-Shiong, who is a member of a "group" with Nant Capital for purposes of Section 13(d) of the Exchange Act. |