HRTX

SEC source: 0000902664-25-003535 · ownership.xml · derivative · entry 3

Rubric Capital Management LP · CIK 0001687509 · 10% owner

Rosen David Efraim · CIK 0001898677 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 94,610

Underlying: Common Stock · 946,100 shares

Expires not disclosed

F5 · derivative.exercise_price: Upon receipt of the requisite votes of the Company's stockholders required to approve the issuance of the shares of Common Stock upon conversion of the Preferred Stock pursuant to the applicable rules of the Nasdaq Capital Market, the Preferred Shares shall, without any further action on the part of the holder thereof or the Company, automatically be converted at an initial conversion price of $1.50, subject to adjustment as set forth in the Certificate of Designation of Rights, Preferences and Privileges of the Preferred Shares, dated as of August 8, 2025.

F5 · derivative.exercise_date: Upon receipt of the requisite votes of the Company's stockholders required to approve the issuance of the shares of Common Stock upon conversion of the Preferred Stock pursuant to the applicable rules of the Nasdaq Capital Market, the Preferred Shares shall, without any further action on the part of the holder thereof or the Company, automatically be converted at an initial conversion price of $1.50, subject to adjustment as set forth in the Certificate of Designation of Rights, Preferences and Privileges of the Preferred Shares, dated as of August 8, 2025.

F5 · derivative.expiration_date: Upon receipt of the requisite votes of the Company's stockholders required to approve the issuance of the shares of Common Stock upon conversion of the Preferred Stock pursuant to the applicable rules of the Nasdaq Capital Market, the Preferred Shares shall, without any further action on the part of the holder thereof or the Company, automatically be converted at an initial conversion price of $1.50, subject to adjustment as set forth in the Certificate of Designation of Rights, Preferences and Privileges of the Preferred Shares, dated as of August 8, 2025.

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

SEC source: 0000902664-25-003535 · ownership.xml · derivative · entry 2

Rubric Capital Management LP · CIK 0001687509 · 10% owner

Rosen David Efraim · CIK 0001898677 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: Not disclosed

Underlying: See footnote · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: 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.

F4 · derivative.exercise_date: The Notes are convertible after the later of (i) the receipt by the Company of the approval of its stockholders under the rules of the Nasdaq Capital Market of the issuance by the Company of all of shares of Common Stock upon conversion thereof (assuming settlement of conversions solely in Common Stock) without giving effect to any cap on conversion or (ii) December 31, 2025. The Notes mature on the fifth anniversary of the closing date, scheduled to occur on August 12, 2025.

F4 · derivative.expiration_date: The Notes are convertible after the later of (i) the receipt by the Company of the approval of its stockholders under the rules of the Nasdaq Capital Market of the issuance by the Company of all of shares of Common Stock upon conversion thereof (assuming settlement of conversions solely in Common Stock) without giving effect to any cap on conversion or (ii) December 31, 2025. The Notes mature on the fifth anniversary of the closing date, scheduled to occur on August 12, 2025.

F3 · derivative.underlying: 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.

F3 · derivative.underlying_shares: 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.

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

SEC source: 0000902664-25-003535 · ownership.xml · nonDerivative · entry 1

Rubric Capital Management LP · CIK 0001687509 · 10% owner

Rosen David Efraim · CIK 0001898677 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 29,100,728

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

SEC source: 0000921895-25-002160 · form412927018_08122025.xml · derivative · entry 3

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 70,012

Underlying: Common Stock · 700,120 shares

Expires not disclosed

F3 · security: Velan Master purchased 70,012 shares of Series A Preferred Stock pursuant to the terms of the SPA and the Certificate of Designation of Rights, Preferences and Privileges of Series A Convertible Preferred Stock of Heron Therapeutics, Inc., dated August 8, 2025 (the "Certificate of Designation"). The conversion price of the Series A Preferred Stock is $1.50 per share.

F3 · derivative.exercise_price: Velan Master purchased 70,012 shares of Series A Preferred Stock pursuant to the terms of the SPA and the Certificate of Designation of Rights, Preferences and Privileges of Series A Convertible Preferred Stock of Heron Therapeutics, Inc., dated August 8, 2025 (the "Certificate of Designation"). The conversion price of the Series A Preferred Stock is $1.50 per share.

F3 · shares: Velan Master purchased 70,012 shares of Series A Preferred Stock pursuant to the terms of the SPA and the Certificate of Designation of Rights, Preferences and Privileges of Series A Convertible Preferred Stock of Heron Therapeutics, Inc., dated August 8, 2025 (the "Certificate of Designation"). The conversion price of the Series A Preferred Stock is $1.50 per share.

F1 · price: The Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors (collectively, the "Purchasers"), including Velan Capital Master Fund LP ("Velan Master"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement shares of the Issuer's Common Stock, par value $0.01 per share (the "Common Stock"), and shares of the Issuer's Series A Convertible Preferred Stock, par value $0.01 per share (the "Series A Preferred Stock"), at a purchase price of $1.50 per share of Common Stock and $15 per share of Series A Preferred Stock. The transaction closed on August 12, 2025.

F4 · derivative.exercise_date: Pursuant to the terms of the SPA, upon approval of the Stockholder Approval Proposal (as defined in the SPA), all of the outstanding shares of Series A Preferred Stock will automatically convert into shares of Common Stock at the applicable conversion price, plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Designation. However, the Series A Preferred Stock shall not be converted if, after giving effect thereto, Velan Master (together with its affiliates) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 4.99% of the outstanding shares of Common Stock. Such ownership limitation may be increased upon 61 days' notice to the Issuer.

F4 · derivative.expiration_date: Pursuant to the terms of the SPA, upon approval of the Stockholder Approval Proposal (as defined in the SPA), all of the outstanding shares of Series A Preferred Stock will automatically convert into shares of Common Stock at the applicable conversion price, plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Designation. However, the Series A Preferred Stock shall not be converted if, after giving effect thereto, Velan Master (together with its affiliates) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 4.99% of the outstanding shares of Common Stock. Such ownership limitation may be increased upon 61 days' notice to the Issuer.

F4 · derivative.underlying_shares: Pursuant to the terms of the SPA, upon approval of the Stockholder Approval Proposal (as defined in the SPA), all of the outstanding shares of Series A Preferred Stock will automatically convert into shares of Common Stock at the applicable conversion price, plus accrued and unpaid dividends, subject to the terms and conditions set forth in the Certificate of Designation. However, the Series A Preferred Stock shall not be converted if, after giving effect thereto, Velan Master (together with its affiliates) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 4.99% of the outstanding shares of Common Stock. Such ownership limitation may be increased upon 61 days' notice to the Issuer.

F2 · ownership.nature: Securities owned directly by Velan Master. Mr. Morgan, as a managing member of each of Velan Capital Holdings LLC, the general partner of Velan Master, and Velan Capital Management LLC, the general partner of the investment manager of Velan Master, may be deemed to beneficially own the securities owned directly by Velan Master. Mr. Morgan disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Morgan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0000921895-25-002160 · form412927018_08122025.xml · nonDerivative · entry 1

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 8,753,290

F1 · shares: The Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors (collectively, the "Purchasers"), including Velan Capital Master Fund LP ("Velan Master"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement shares of the Issuer's Common Stock, par value $0.01 per share (the "Common Stock"), and shares of the Issuer's Series A Convertible Preferred Stock, par value $0.01 per share (the "Series A Preferred Stock"), at a purchase price of $1.50 per share of Common Stock and $15 per share of Series A Preferred Stock. The transaction closed on August 12, 2025.

F1 · price: The Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors (collectively, the "Purchasers"), including Velan Capital Master Fund LP ("Velan Master"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement shares of the Issuer's Common Stock, par value $0.01 per share (the "Common Stock"), and shares of the Issuer's Series A Convertible Preferred Stock, par value $0.01 per share (the "Series A Preferred Stock"), at a purchase price of $1.50 per share of Common Stock and $15 per share of Series A Preferred Stock. The transaction closed on August 12, 2025.

F2 · ownership.nature: Securities owned directly by Velan Master. Mr. Morgan, as a managing member of each of Velan Capital Holdings LLC, the general partner of Velan Master, and Velan Capital Management LLC, the general partner of the investment manager of Velan Master, may be deemed to beneficially own the securities owned directly by Velan Master. Mr. Morgan disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Morgan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0000950170-25-102161 · ownership.xml · derivative · entry 2

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,721

Underlying: Common Stock · 11,695 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

SEC source: 0000950170-25-102161 · ownership.xml · nonDerivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,635

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-102158 · ownership.xml · derivative · entry 2

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,721

Underlying: Common Stock · 11,695 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: The number of restricted stock units disclosed on the Reporting Person's Form 4 filed on April 22, 2025, May 2, 2025 and June 17 , 2025 ("Affected Form 4 Filings") were erroneously disclosed as an acquisition in Column 5(A) when it should have been disclosed as a disposition in Column 5(D). All other information in the Affected Form 4 Filings is correct.

F3 · derivative.exercise_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

F3 · derivative.expiration_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

SEC source: 0000950170-25-102158 · ownership.xml · nonDerivative · entry 1

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,218

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-102150 · ownership.xml · derivative · entry 2

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 487,042

Underlying: Common Stock · 34,789 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

SEC source: 0000950170-25-102150 · ownership.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 474,538

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-097503 · ownership.xml · derivative · entry 2

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,743

Underlying: Common Stock · 3,874 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0000950170-25-097503 · ownership.xml · nonDerivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,940

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-097488 · ownership.xml · derivative · entry 2

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,969

Underlying: Common Stock · 13,797 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0000950170-25-097488 · ownership.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 439,749

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-097498 · ownership.xml · derivative · entry 2

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,743

Underlying: Common Stock · 3,874 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0000950170-25-097498 · ownership.xml · nonDerivative · entry 1

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,523

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-087534 · ownership.xml · derivative · entry 2

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0000950170-25-087534 · ownership.xml · nonDerivative · entry 1

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,649

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-084006 · ownership.xml · derivative · entry 2

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0000950170-25-084006 · ownership.xml · nonDerivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,066

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-065310 · ownership.xml · derivative · entry 1

Hensley Mark Earl · CIK 0002065816 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The restricted stock units vest with 25% upon the first anniversary of date of grant (May 6, 2025) and then in twelve (12) equal quarterly installmens thereafter.

F1 · derivative.expiration_date: The restricted stock units vest with 25% upon the first anniversary of date of grant (May 6, 2025) and then in twelve (12) equal quarterly installmens thereafter.

SEC source: 0000950170-25-063065 · ownership.xml · derivative · entry 2

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,416

Underlying: Common Stock · 11,694 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

SEC source: 0000950170-25-063065 · ownership.xml · nonDerivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,566

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-063063 · ownership.xml · derivative · entry 2

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,416

Underlying: Common Stock · 11,694 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

SEC source: 0000950170-25-063063 · ownership.xml · nonDerivative · entry 1

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,149

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-063061 · ownership.xml · derivative · entry 2

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 521,831

Underlying: Common Stock · 34,789 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

SEC source: 0000950170-25-063061 · ownership.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 425,952

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-056495 · ownership.xml · derivative · entry 2

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,617

Underlying: Common Stock · 3,875 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0000950170-25-056495 · ownership.xml · nonDerivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,872

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-056492 · ownership.xml · derivative · entry 2

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,617

Underlying: Common Stock · 3,875 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0000950170-25-056492 · ownership.xml · nonDerivative · entry 1

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,455

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-056488 · ownership.xml · derivative · entry 2

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,766

Underlying: Common Stock · 13,796 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0000950170-25-056488 · ownership.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 391,163

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-050677 · ownership.xml · derivative · entry 2

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 62,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0000950170-25-050677 · ownership.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 377,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-013741 · ownership.xml · derivative · entry 2

Rodriguez Susan · CIK 0001812511 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,900

Underlying: Common Stock · 35,900 shares

Expires 2035-01-31

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0000950170-25-013741 · ownership.xml · nonDerivative · entry 1

Rodriguez Susan · CIK 0001812511 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,180

F1 · shares: The shares were granted as restricted stock units which vest in full on January 31, 2026. Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-013789 · ownership.xml · derivative · entry 2

Kaseta Michael · CIK 0001724346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,900

Underlying: Common Stock · 35,900 shares

Expires 2035-01-31

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0000950170-25-013789 · ownership.xml · nonDerivative · entry 1

Kaseta Michael · CIK 0001724346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,829

F1 · shares: The shares were granted as restricted stock units which vest in full on January 31, 2026. Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-013780 · ownership.xml · derivative · entry 3

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,900

Underlying: Common Stock · 35,900 shares

Expires 2035-01-31

F3 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0000950170-25-013780 · ownership.xml · nonDerivative · entry 1

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,777

F1 · shares: The shares were granted as restricted stock units which vest in full on January 31, 2026. Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-013770 · ownership.xml · derivative · entry 2

Dissanaike Sharmila · CIK 0001885069 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,900

Underlying: Common Stock · 35,900 shares

Expires 2035-01-31

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0000950170-25-013770 · ownership.xml · nonDerivative · entry 1

Dissanaike Sharmila · CIK 0001885069 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,180

F1 · shares: The shares were granted as restricted stock units which vest in full on January 31, 2026. Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-013756 · ownership.xml · derivative · entry 2

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,900

Underlying: Common Stock · 35,900 shares

Expires 2035-01-31

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0000950170-25-013756 · ownership.xml · nonDerivative · entry 1

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,770

F1 · shares: The shares were granted as restricted stock units which vest in full on January 31, 2026. Each restricted stock unit represents a contigent right to receive one share of common stock.

SEC source: 0000950170-25-013728 · ownership.xml · derivative · entry 2

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,900

Underlying: Common Stock · 35,900 shares

Expires 2035-01-31

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0000950170-25-013728 · ownership.xml · nonDerivative · entry 1

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,130

F1 · shares: The shares were granted as restricted stock units which vest in full on January 31, 2026. Each restricted stock unit represents a contingent right to receive one share of common stock.

SEC source: 0000950170-25-013045 · ownership.xml · derivative · entry 2

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,110

Underlying: Common Stock · 187,110 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal installments beginning one quarter after the date of grant (January 31, 2025).

SEC source: 0000950170-25-013045 · ownership.xml · derivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,220

Underlying: Common Stock · 374,220 shares

Expires 2035-01-31

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (January 31, 2025).