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 |
|---|---|---|---|---|---|---|
| September 30, 2021 Filed Oct 4, 2021 20:03 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $137,341.00 |
DisclosureSEC source: 0001062993-21-009179 · 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 · 343,353 shares Expires 2024-01-15 F1 · security: On September 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| June 30, 2021 Filed Jul 1, 2021 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,600.00 |
DisclosureSEC source: 0000908662-21-000107 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 359,982 shares Expires 2030-02-05 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,969.00 |
DisclosureSEC source: 0000908662-21-000107 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 65,622 shares Expires 2029-05-14 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $153,667.00 |
DisclosureSEC source: 0000908662-21-000107 · edgar.xml · derivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 384,168 shares Expires 2024-01-15 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 |
| June 30, 2021 Filed Jul 1, 2021 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $133,991.00 |
DisclosureSEC source: 0000908662-21-000107 · edgar.xml · derivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 334,978 shares Expires 2024-01-15 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| June 30, 2021 Filed Jul 1, 2021 20:07 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
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,600.00 |
DisclosureSEC source: 0000908662-21-000108 · edgar.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 Disclosed balance after: Not disclosed Underlying: Common Stock · 359,982 shares Expires 2030-02-05 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 20:07 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
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,969.00 |
DisclosureSEC source: 0000908662-21-000108 · edgar.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 Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 65,622 shares Expires 2029-05-14 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 20:07 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $153,667.00 |
DisclosureSEC source: 0000908662-21-000108 · edgar.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 · 384,168 shares Expires 2024-01-15 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 |
| June 30, 2021 Filed Jul 1, 2021 20:07 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $133,991.00 |
DisclosureSEC source: 0000908662-21-000108 · edgar.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 · 334,978 shares Expires 2024-01-15 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| April 20, 2021 Filed Apr 22, 2021 16:16 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantCommon Stock Warrants (Right to Buy) · Derivative | 1,068,400 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0000908662-21-000072 · edgar.xml · derivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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: 1,068,400 Underlying: Common Stock · 1,068,400 shares Expires 2031-04-20 F1 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| April 20, 2021 Filed Apr 22, 2021 16:16 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantCommon Stock Warrants (Right to Buy) · Derivative | 931,600 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0000908662-21-000072 · edgar.xml · derivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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: 931,600 Underlying: Common Stock · 931,600 shares Expires 2031-04-20 F1 · derivative.exercise_date: Immediately exercisable. F2 · 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 |
| April 20, 2021 Filed Apr 22, 2021 20:17 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
|
GrantCommon Stock Warrants (Right to Buy) · Derivative | 1,068,400 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0000908662-21-000073 · edgar.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: 1,068,400 Underlying: Common Stock · 1,068,400 shares Expires 2031-04-20 F1 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| April 20, 2021 Filed Apr 22, 2021 20:17 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
|
GrantCommon Stock Warrants (Right to Buy) · Derivative | 931,600 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0000908662-21-000073 · edgar.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: 931,600 Underlying: Common Stock · 931,600 shares Expires 2031-04-20 F1 · derivative.exercise_date: Immediately exercisable. F2 · 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 31, 2021 Filed Apr 1, 2021 16:09 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,909.00 |
DisclosureSEC source: 0000908662-21-000064 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 63,633 shares Expires 2029-05-14 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 16:09 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $149,919.00 |
DisclosureSEC source: 0000908662-21-000064 · edgar.xml · derivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 374,798 shares Expires 2024-01-15 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 31, 2021 Filed Apr 1, 2021 16:09 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $130,723.00 |
DisclosureSEC source: 0000908662-21-000064 · edgar.xml · derivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 326,808 shares Expires 2024-01-15 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 31, 2021 Filed Apr 1, 2021 20:09 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
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,491.00 |
DisclosureSEC source: 0000908662-21-000065 · edgar.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 Disclosed balance after: Not disclosed Underlying: Common Stock · 349,073 shares Expires 2030-02-05 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 20:09 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
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,909.00 |
DisclosureSEC source: 0000908662-21-000065 · edgar.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 Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 63,633 shares Expires 2029-05-14 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 20:09 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $149,919.00 |
DisclosureSEC source: 0000908662-21-000065 · edgar.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 · 374,798 shares Expires 2024-01-15 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 31, 2021 Filed Apr 1, 2021 20:09 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $130,723.00 |
DisclosureSEC source: 0000908662-21-000065 · edgar.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 · 326,808 shares Expires 2024-01-15 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 31, 2020 Filed Jan 5, 2021 12:55 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
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,385.00 |
DisclosureSEC source: 0000908662-21-000002 · edgar.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 Disclosed balance after: Not disclosed Underlying: Common Stock · 338,495 shares Expires 2030-02-05 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 12:55 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
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,851.00 |
DisclosureSEC source: 0000908662-21-000002 · edgar.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 Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 61,705 shares Expires 2029-05-14 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 12:55 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $146,263.00 |
DisclosureSEC source: 0000908662-21-000002 · edgar.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 · 365,656 shares Expires 2024-01-15 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 31, 2020 Filed Jan 5, 2021 12:55 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $127,535.00 |
DisclosureSEC source: 0000908662-21-000002 · edgar.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 · 318,837 shares Expires 2024-01-15 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 31, 2020 Filed Jan 5, 2021 07:54 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,385.00 |
DisclosureSEC source: 0000908662-21-000001 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 338,495 shares Expires 2030-02-05 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 07:54 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,851.00 |
DisclosureSEC source: 0000908662-21-000001 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 61,705 shares Expires 2029-05-14 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 07:54 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $146,263.00 |
DisclosureSEC source: 0000908662-21-000001 · edgar.xml · derivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 365,656 shares Expires 2024-01-15 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 31, 2020 Filed Jan 5, 2021 07:54 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $127,535.00 |
DisclosureSEC source: 0000908662-21-000001 · edgar.xml · derivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 318,837 shares Expires 2024-01-15 F1 · security: On December 31, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 31, 2020 Filed Apr 1, 2021 16:09 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,491.00 |
DisclosureSEC source: 0000908662-21-000064 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 349,073 shares Expires 2030-02-05 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 16:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,282.00 |
DisclosureSEC source: 0000908662-20-000158 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 328,238 shares Expires 2030-02-05 F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 16:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,795.00 |
DisclosureSEC source: 0000908662-20-000158 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 59,835 shares Expires 2029-05-14 F1 · security: On September 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 16:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $142,695.00 |
DisclosureSEC source: 0000908662-20-000158 · edgar.xml · derivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 356,738 shares Expires 2024-01-15 F1 · security: On September 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 |
| September 30, 2020 Filed Oct 2, 2020 16:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $124,424.00 |
DisclosureSEC source: 0000908662-20-000158 · edgar.xml · derivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 311,060 shares Expires 2024-01-15 F1 · security: On September 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| September 30, 2020 Filed Oct 2, 2020 20:05 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
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,282.00 |
DisclosureSEC source: 0000908662-20-000159 · edgar.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 Disclosed balance after: Not disclosed Underlying: Common Stock · 328,238 shares Expires 2030-02-05 F1 · security: On September 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 20:05 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
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,795.00 |
DisclosureSEC source: 0000908662-20-000159 · edgar.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 Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 59,835 shares Expires 2029-05-14 F1 · security: On September 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 20:05 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $142,695.00 |
DisclosureSEC source: 0000908662-20-000159 · edgar.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 · 356,738 shares Expires 2024-01-15 F1 · security: On September 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 |
| September 30, 2020 Filed Oct 2, 2020 20:05 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $124,424.00 |
DisclosureSEC source: 0000908662-20-000159 · edgar.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 · 311,060 shares Expires 2024-01-15 F1 · security: On September 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| August 20, 2020 Filed Aug 24, 2020 22:14 UTC |
EPSTEIN STEVEN BDirector
|
OtherCommon Stock | 1,780,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001387131-20-007833 · epstein-form4_082020.xml · nonDerivative · entry 1 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 1,780,000 F1 · kind: The Reporting Person transferred 1,780,000 shares from a joint account with his wife to Epstein Partners, LLC, a Wyoming limited liability company. Epstein Partners, LLC, is owned in equal parts by the Reporting Person and his son. The Reporting Person disclaims beneficial ownership to 890,000 shares owned by Epstein Partners, LLC. F1 · shares: The Reporting Person transferred 1,780,000 shares from a joint account with his wife to Epstein Partners, LLC, a Wyoming limited liability company. Epstein Partners, LLC, is owned in equal parts by the Reporting Person and his son. The Reporting Person disclaims beneficial ownership to 890,000 shares owned by Epstein Partners, LLC. F1 · ownership.nature: The Reporting Person transferred 1,780,000 shares from a joint account with his wife to Epstein Partners, LLC, a Wyoming limited liability company. Epstein Partners, LLC, is owned in equal parts by the Reporting Person and his son. The Reporting Person disclaims beneficial ownership to 890,000 shares owned by Epstein Partners, LLC. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 18:29 UTC |
Wheeler L. AllenDirector · Chairman of the Board · 10% owner
|
GrantNon-qualified stock option (right to buy) · Derivative | 1,200,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001387131-20-007337 · wheeler-form4_081020.xml · derivative · entry 1 Wheeler L. Allen · CIK 0001495507 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires 2030-08-09 F1 · derivative.exercise_date: On each of August 10, 2021, August 10, 2022 and August 10, 2023, 400,000 shares vest. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 18:24 UTC |
Johnson Steven G.Director · CEO/Pres/Secretary/Treasurer/D · 10% owner
|
GrantNon-qualified stock option (right to buy) · Derivative | 1,200,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001387131-20-007333 · johnson-form4_081020.xml · derivative · entry 1 Johnson Steven G. · CIK 0001495505 · Director · CEO/Pres/Secretary/Treasurer/D · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires 2030-08-09 F1 · derivative.exercise_date: On each of August 10, 2021, August 10, 2022, and August 10, 2023, 400,000 shares vest. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 22:35 UTC |
EPSTEIN STEVEN BDirector
|
GrantNon-qualified stock option (right to buy) · Derivative | 1,200,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001387131-20-007343 · epstein-form4_081020.xml · derivative · entry 1 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires 2030-08-09 F1 · derivative.exercise_date: On each of August 10, 2021, August 10, 2022, and August 10, 2023, 400,000 shares vest. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 22:33 UTC |
Thompson Jason TDirector · Principal Financial Officer/CA
|
GrantNon-qualified stock option (right to buy) · Derivative | 1,200,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001387131-20-007341 · thompson-form4_081020.xml · derivative · entry 1 Thompson Jason T · CIK 0001588061 · Director · Principal Financial Officer/CA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires 2030-08-09 F1 · derivative.exercise_date: On each of August 10, 2021, August 10, 2022, and August 10, 2023, 400,000 shares vest. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 22:31 UTC |
WHITE DAVID RICHARDDirector
|
GrantNon-qualified stock option (right to buy) · Derivative | 1,200,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001387131-20-007339 · white-form4_081020.xml · derivative · entry 1 WHITE DAVID RICHARD · CIK 0001603623 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires 2030-08-09 F1 · derivative.exercise_date: On each of August 10, 2021, August 10, 2022, and August 10, 2023, 400,000 shares vest. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 22:27 UTC | GrantNon-qualified stock option (right to buy) · Derivative | 7,400,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001387131-20-007335 · mcree-form4_081020.xml · derivative · entry 1 McRee Sandra K · CIK 0001588618 · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,400,000 Underlying: Common Stock · 7,400,000 shares Expires 2030-08-09 F1 · derivative.exercise_date: On each of August 10, 2021 and August 10, 2022, 2,466,666 shares vest, and on August 10, 2023, 2,466,668 shares vest. Read SEC document |
|
| August 10, 2020 Filed Aug 12, 2020 22:22 UTC |
HIGGINS JAMES RDirector · 10% owner
|
GrantNon-qualified stock option (right to buy) · Derivative | 1,200,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001387131-20-007331 · higgins-form4_081020.xml · derivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires 2030-08-09 F1 · derivative.exercise_date: On each of August 10, 2021, August 10, 2022, and August 10, 2023, 400,000 shares vest. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 15:57 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,183.00 |
DisclosureSEC source: 0000908662-20-000132 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 318,291 shares Expires 2030-02-05 F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 15:57 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
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GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,741.00 |
DisclosureSEC source: 0000908662-20-000132 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 58,022 shares Expires 2029-05-14 F1 · security: On June 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 15:57 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
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GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $139,215.00 |
DisclosureSEC source: 0000908662-20-000132 · edgar.xml · derivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 348,037 shares Expires 2024-01-15 F1 · security: On June 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · 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 |
| June 30, 2020 Filed Jul 2, 2020 15:57 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
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GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $121,389.00 |
DisclosureSEC source: 0000908662-20-000132 · edgar.xml · derivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner HealthCor Partners LP · CIK 0001519456 · 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 · 303,474 shares Expires 2024-01-15 F1 · security: On June 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · 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 |
| June 30, 2020 Filed Jul 2, 2020 20:11 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
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GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,183.00 |
DisclosureSEC source: 0000908662-20-000138 · edgar.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 Disclosed balance after: Not disclosed Underlying: Common Stock · 318,291 shares Expires 2030-02-05 F1 · security: On June 30, 2020, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. 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.