| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Rubric Capital Management LP | 10%+ Owner | 155 EAST 44TH ST, SUITE 1630, NEW YORK | Rubric Capital Management LP, By: /s/ Michael Nachmani, its Chief Operating Officer | 17 Oct 2025 | 0001687509 |
| Rosen David Efraim | 10%+ Owner | 155 EAST 44TH ST., SUITE 1630, NEW YORK | /s/ David Rosen | 17 Oct 2025 | 0001898677 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HRTX | Common Stock, par value $0.01 per share ("Common Stock") | Conversion of derivative security | +946,100 | +3.3% | 30,046,828 | 15 Oct 2025 | See footnotes | F1, F2, F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HRTX | Series A Convertible Preferred Stock ("Preferred Shares") | Conversion of derivative security | $0 | -94,610 | -100% | $0.000000 | 0 | 15 Oct 2025 | Common Stock | 946,100 | See footnotes | F1, F2, F3 | |
| holding | HRTX | Convertible Senior Unsecured Promissory Notes ("Notes") | $35,000,000 | 15 Oct 2025 | See footnote | See footnotes | F2, F3, F4, F5, F6 |
| Id | Content |
|---|---|
| F1 | The Preferred Shares automatically converted into Common Stock pursuant to their terms at a conversion price of $1.50. |
| F2 | This Form 4 is filed by Rubric Capital Management LP ("Rubric Capital") and Mr. David Rosen, with respect to the securities held by certain funds and/or accounts (collectively, the "Rubric Vehicles"). Rubric Capital serves as the investment adviser to the Rubric Vehicles. Mr. David Rosen serves as the Managing Member of Rubric Capital Management GP, LLC, the general partner of Rubric Capital. |
| F3 | The filing of this statement shall not be deemed an admission that any Reporting Person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein. |
| F4 | The Notes are restated here to correct the maturity date thereof as reported in the Form 4 filed by the Reporting Persons on August 12, 2025. |
| F5 | The Notes convert at an initial conversion rate of 555.5556 per $1,000 principal amount of Notes, subject to adjustment as set forth in that certain Note Purchase Agreement, dated as of August 8, 2025, by and between the Company, the purchasers from time to time party hereto, and Rubric Capital Management LP, as agent for the purchasers. Conversions of the Notes are settled, at the election of the Company, in cash, shares of Common Stock, or a combination of cash and shares of Common Stock. The Notes bear cash interest at a rate of 5.0% per year until maturity, provided that the Company has the right to pay all accrued and unpaid interest prior to September 1, 2026 in new Notes at a rate of 7.0% per year. |
| F6 | The Notes are convertible after December 31, 2025. The Notes mature on March 1, 2031. |