SEC Form 5 · accession 0001209191-19-010097

· HRTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 31, 2018

Accepted (ET)

Feb 14, 2019 · 4:02 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000818033

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2	Dec 7, 2018	G	18,989	$0.00	D	5,811,226	I	By LP
Common Stock^F2	Dec 7, 2018	G	18,989	$0.00	D	5,792,237	I	By LP
Common Stock^F2	Dec 7, 2018	G	1,992	$0.00	D	5,790,245	I	By LP
Common Stock^F2	Dec 10, 2018	G	19,304	$0.00	D	5,770,941	I	By LP
Common Stock^F2	Dec 10, 2018	G	3,955	$0.00	D	5,766,986	I	By LP
Common Stock^F2	Dec 10, 2018	G	3,955	$0.00	D	5,763,031	I	By LP
Common Stock^F2	Dec 10, 2018	G	3,955	$0.00	D	5,759,076	I	By LP
Common Stock^F2	Dec 10, 2018	G	2,025	$0.00	D	5,757,051	I	By LP
Common Stock^F2	Dec 10, 2018	G	3,955	$0.00	D	5,753,096	I	By LP
Common Stock^F3	holding	—	—		—	14,347	I	As Trustee
Common Stock^F4	holding	—	—		—	6,941	D

No Table II lines on this filing.

F1The gifted securities were held by Tang Capital Partners, LP and were donated to a charitable organization.
F2The securities are held by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.
F3The securities are held by Kevin Tang as custodian for his minor children, as Trustee of the KCT Family Trust, and as Trustee of the Tang Advisors, LLC Profit Sharing Plan.
F42,147 of these securities are held by Kevin Tang's IRA.