CRVW

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 10

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

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 $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 9

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

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 $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 8

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

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 $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 7

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

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 $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 6

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 70,000 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 $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 5

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,637,716 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, with an aggregate principal balance of $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 4

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,302,972 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, with an aggregate principal balance of $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 3

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,659,597 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 $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 2

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032,015 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 $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Penson C/F Jeffrey C. Lightcap (IRA)

Disclosed balance after: 0

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, with an aggregate principal balance of $2,757,074, 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 11,108,653 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 10

HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner

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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 9

HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner

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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 8

HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner

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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 7

HIGGINS JAMES R · CIK 0001606619 · 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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 6

HIGGINS JAMES R · CIK 0001606619 · 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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 5

HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: N/A · 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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 4

HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: N/A · 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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 3

HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,127,677 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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 2

HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,064,029 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 $2,767,074 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 1,682,692 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.

SEC source: 0001839882-23-000267 · ownership.xml · derivative · entry 1

HIGGINS JAMES R · CIK 0001606619 · 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 $2,767,074 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 1,682,692 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 16

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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 15

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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 14

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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 13

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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 12

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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 11

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: 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.

SEC source: 0001062993-23-000243 · 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: 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.

SEC source: 0001062993-23-000243 · 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: 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.

SEC source: 0001062993-23-000243 · 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: 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.

SEC source: 0001062993-23-000243 · 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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · 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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · 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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · 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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · 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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · 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: 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.

SEC source: 0001062993-23-000243 · form4.xml · derivative · 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: 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.

SEC source: 0001387131-23-001152 · 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 · 8,000,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person 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.

SEC source: 0001387131-23-001152 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person 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.

SEC source: 0001387131-23-001152 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person 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.

SEC source: 0001387131-23-001144 · ownership.xml · derivative · entry 4

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 · 17,500,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting person 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, for a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him representing an aggregate of 550,001 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.

SEC source: 0001387131-23-001144 · 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 person 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, for a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him representing an aggregate of 550,001 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.

SEC source: 0001387131-23-001144 · 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 person 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, for a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him representing an aggregate of 550,001 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.

SEC source: 0001387131-23-001144 · 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 person 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, for a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him representing an aggregate of 550,001 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.

SEC source: 0001387131-23-001154 · 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 · 3,000,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person 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.

SEC source: 0001387131-23-001154 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person 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.

SEC source: 0001387131-23-001154 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person 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.

SEC source: 0001387131-23-001150 · 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 · 4,000,000 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, with an aggregate principal balance of $783,672, for a replacement note in the indicated aggregate principal amount 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.

SEC source: 0001387131-23-001150 · 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 a replacement note in the indicated aggregate principal amount 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.

SEC source: 0001387131-23-001150 · 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 a replacement note in the indicated aggregate principal amount 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.

SEC source: 0001387131-23-001150 · 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 a replacement note in the indicated aggregate principal amount 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.