Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | $0.00 Strike: $0.10 | $700,000.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · derivative · entry 10 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Jeffrey Lightcap IRA Disclosed balance after: Not disclosed Underlying: Common Stock · 7,000,000 shares Expires 2023-12-31 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. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | $0.00 Strike: $0.10 | $650,000.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · derivative · entry 9 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 6,500,000 shares Expires 2023-12-31 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. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | $0.00 Strike: $0.10 | $9,348,500.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · derivative · entry 8 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 93,485,000 shares Expires 2023-12-31 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 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | $0.00 Strike: $0.10 | $8,651,500.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · derivative · entry 7 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 86,515,000 shares Expires 2023-12-31 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 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionCommon Stock | 6,000,000 | $0.10 | $600,000.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · nonDerivative · entry 6 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Joseph Healey Disclosed balance after: 6,000,000 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. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionCommon Stock | 8,141,660 | $0.10 | $814,166.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · nonDerivative · entry 5 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Arthur Cohen Disclosed balance after: 8,141,660 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. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionCommon Stock | 7,000,000 | $0.10 | $700,000.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · nonDerivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Jeffrey Lightcap IRA Disclosed balance after: 7,000,000 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. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionCommon Stock | 6,500,000 | $0.10 | $650,000.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · nonDerivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: 6,500,000 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. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionCommon Stock | 93,485,000 | $0.10 | $9,348,500.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · nonDerivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Hybrid Fund Disclosed balance after: 93,485,000 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 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| March 30, 2023 Filed Apr 4, 2023 10:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
ConversionCommon Stock | 86,515,000 | $0.10 | $8,651,500.00 |
DisclosureSEC source: 0001062993-23-008385 · form4.xml · nonDerivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By HCP Fund Disclosed balance after: 86,515,000 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 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:50 UTC |
Wheeler L. AllenDirector · 10% owner
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $300,000.00 |
DisclosureSEC source: 0001839882-23-000274 · ownership.xml · derivative · entry 4 Wheeler L. Allen · CIK 0001495507 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 30,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $1,594,793, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by him representing an aggregate of 382,692 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:50 UTC |
Wheeler L. AllenDirector · 10% owner
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $500,000.00 |
DisclosureSEC source: 0001839882-23-000274 · ownership.xml · derivative · entry 3 Wheeler L. Allen · CIK 0001495507 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 50,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $1,594,793, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by him representing an aggregate of 382,692 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:50 UTC |
Wheeler L. AllenDirector · 10% owner
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $481,921.00 |
DisclosureSEC source: 0001839882-23-000274 · ownership.xml · derivative · entry 2 Wheeler L. Allen · CIK 0001495507 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,638,417 shares Expires 2028-02-22 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $1,594,793, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by him representing an aggregate of 382,692 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:50 UTC |
Wheeler L. AllenDirector · 10% owner
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,112,872.00 |
DisclosureSEC source: 0001839882-23-000274 · ownership.xml · derivative · entry 1 Wheeler L. Allen · CIK 0001495507 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,140,138 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $1,594,793, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by him representing an aggregate of 382,692 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $250,000.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 10 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SJ Capital, LLC Disclosed balance after: Not disclosed Underlying: Common Stock · 25,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $150,000.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 9 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SJ Capital, LLC Disclosed balance after: Not disclosed Underlying: Common Stock · 15,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $500,000.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 8 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 50,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $600,000.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 7 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 60,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $650,000.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 6 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 65,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
Disposition to issuerSecured Note · Derivative | Not disclosed | Not disclosed Strike: $0.00 | $323,557.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 5 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SJ Capital, LLC Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2022-06-30 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
Disposition to issuerSecured Note · Derivative | Not disclosed | Not disclosed Strike: $0.00 | $211,060.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 4 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SJ Capital, LLC Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2022-06-30 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $765,960.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 3 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,319,192 shares Expires 2028-07-10 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $963,842.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 2 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,276,834 shares Expires 2028-02-22 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 18:57 UTC |
Johnson Steven G.Director · CEO/CFO/SEC/TREAS · 10% owner
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,446,734.00 |
DisclosureSEC source: 0001839882-23-000279 · ownership.xml · derivative · entry 1 Johnson Steven G. · CIK 0001495505 · Director · CEO/CFO/SEC/TREAS · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,782,180 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $3,711,153 some of which notes had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 500,001 shares, for no value, the reporting of which is exempt under of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $600,000.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 16 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Joseph Healey Disclosed balance after: Not disclosed Underlying: Common Stock · 6,000,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $814,166.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 15 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Arthur Cohen Disclosed balance after: Not disclosed Underlying: Common Stock · 8,141,660 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $700,000.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 14 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap IRA Disclosed balance after: Not disclosed Underlying: Common Stock · 7,000,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $650,000.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 13 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 6,500,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $18,697,000.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 12 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 186,970,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. F5 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $17,303,000.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 11 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 173,030,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2030 · Derivative | Not disclosed | Not disclosed Strike: $0.01 | $126,377.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 10 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 12,633,454 shares Expires 2030-02-06 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2029 · Derivative | Not disclosed | Not disclosed Strike: $0.03 | $69,089.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 9 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 2,302,971 shares Expires 2029-05-12 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2028 · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $382,980.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 8 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 7,659,596 shares Expires 2028-07-10 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2028 · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $401,601.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 7 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 8,032,014 shares Expires 2028-02-22 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,335,446.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 6 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Joseph Healey Disclosed balance after: Not disclosed Underlying: Common Stock · 2,568,166 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,812,125.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 5 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Arthur Cohen Disclosed balance after: Not disclosed Underlying: Common Stock · 3,484,856 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,558,021.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 4 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap IRA Disclosed balance after: Not disclosed Underlying: Common Stock · 2,996,194 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $2,225,745.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 3 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 4,280,277 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2024 · Derivative | Not disclosed | Not disclosed Strike: $0.40 | $6,619,305.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 2 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 16,548,263 shares Expires 2024-01-15 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. F5 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 16:03 UTC |
HealthCor Associates, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
|
Disposition to issuerSenior Secured Convertible Note due 2024 · Derivative | Not disclosed | Not disclosed Strike: $0.40 | $5,771,757.00 |
DisclosureSEC source: 0001062993-23-000239 · form4.xml · derivative · entry 1 HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 14,429,391 shares Expires 2024-01-15 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 23:54 UTC | GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $100,000.00 |
DisclosureSEC source: 0001839882-23-000277 · ownership.xml · derivative · entry 4 McRee Sandra K · CIK 0001588618 · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 10,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $605,789, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by her representing an aggregate of 148,076 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
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| December 30, 2022 Filed Jan 4, 2023 23:54 UTC | GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $200,000.00 |
DisclosureSEC source: 0001839882-23-000277 · ownership.xml · derivative · entry 3 McRee Sandra K · CIK 0001588618 · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 20,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $605,789, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by her representing an aggregate of 148,076 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
|
| December 30, 2022 Filed Jan 4, 2023 23:54 UTC | Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $160,640.00 |
DisclosureSEC source: 0001839882-23-000277 · ownership.xml · derivative · entry 2 McRee Sandra K · CIK 0001588618 · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,212,806 shares Expires 2028-02-22 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $605,789, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by her representing an aggregate of 148,076 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
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| December 30, 2022 Filed Jan 4, 2023 23:54 UTC | Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $445,149.00 |
DisclosureSEC source: 0001839882-23-000277 · ownership.xml · derivative · entry 1 McRee Sandra K · CIK 0001588618 · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 856,055 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $605,789, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by her representing an aggregate of 148,076 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
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| December 30, 2022 Filed Jan 4, 2023 23:47 UTC |
EPSTEIN STEVEN BDirector
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $50,000.00 |
DisclosureSEC source: 0001839882-23-000272 · ownership.xml · derivative · entry 6 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 5,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $783,672, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 178,846 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 23:47 UTC |
EPSTEIN STEVEN BDirector
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $100,000.00 |
DisclosureSEC source: 0001839882-23-000272 · ownership.xml · derivative · entry 5 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 10,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $783,672, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 178,846 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 23:47 UTC |
EPSTEIN STEVEN BDirector
|
GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $250,000.00 |
DisclosureSEC source: 0001839882-23-000272 · ownership.xml · derivative · entry 4 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 25,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $783,672, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 178,846 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 23:47 UTC |
EPSTEIN STEVEN BDirector
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $76,596.00 |
DisclosureSEC source: 0001839882-23-000272 · ownership.xml · derivative · entry 3 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,531,919 shares Expires 2028-07-10 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $783,672, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 178,846 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 23:47 UTC |
EPSTEIN STEVEN BDirector
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $150,640.00 |
DisclosureSEC source: 0001839882-23-000272 · ownership.xml · derivative · entry 2 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,212,806 shares Expires 2028-02-22 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $783,672, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 178,846 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 23:47 UTC |
EPSTEIN STEVEN BDirector
|
Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $556,436.00 |
DisclosureSEC source: 0001839882-23-000272 · ownership.xml · derivative · entry 1 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Stephen B. and Deborah L. Epstein Disclosed balance after: 0 Underlying: Common Stock · 1,070,069 shares Expires 2025-02-16 F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $783,672, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 178,846 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act. F3 · price: See footnote (1). F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.