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 |
|---|---|---|---|---|---|---|
| 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
|
GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,741.00 |
DisclosureSEC source: 0000908662-20-000138 · 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 · 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 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $139,215.00 |
DisclosureSEC source: 0000908662-20-000138 · 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 · 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 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $121,389.00 |
DisclosureSEC source: 0000908662-20-000138 · 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 · 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 |
| March 31, 2020 Filed Apr 1, 2020 16:02 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 | $1,853.00 |
DisclosureSEC source: 0000908662-20-000067 · 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 · 185,313 shares Expires 2030-02-05 F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2020 Filed Apr 1, 2020 16:02 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 | $1,688.00 |
DisclosureSEC source: 0000908662-20-000067 · 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 · 56,264 shares Expires 2029-05-14 F1 · security: On March 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 |
| March 31, 2020 Filed Apr 1, 2020 16:02 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 | $135,819.00 |
DisclosureSEC source: 0000908662-20-000067 · 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 · 339,548 shares Expires 2024-01-15 F1 · security: On March 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 |
| March 31, 2020 Filed Apr 1, 2020 16:02 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 | $118,429.00 |
DisclosureSEC source: 0000908662-20-000067 · 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 · 296,072 shares Expires 2024-01-15 F1 · security: On March 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 |
| March 31, 2020 Filed Apr 1, 2020 20:02 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 | $1,853.00 |
DisclosureSEC source: 0000908662-20-000068 · 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 · 185,313 shares Expires 2030-02-05 F1 · security: On March 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 |
| March 31, 2020 Filed Apr 1, 2020 20:02 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 | $1,688.00 |
DisclosureSEC source: 0000908662-20-000068 · 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 · 56,264 shares Expires 2029-05-14 F1 · security: On March 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 |
| March 31, 2020 Filed Apr 1, 2020 20:02 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 | $135,819.00 |
DisclosureSEC source: 0000908662-20-000068 · 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 · 339,548 shares Expires 2024-01-15 F1 · security: On March 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 |
| March 31, 2020 Filed Apr 1, 2020 20:02 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 | $118,429.00 |
DisclosureSEC source: 0000908662-20-000068 · 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 · 296,072 shares Expires 2024-01-15 F1 · security: On March 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 |
| February 06, 2020 Filed Feb 10, 2020 21:17 UTC |
HIGGINS JAMES RDirector · 10% owner
|
GrantCommon Stock Purchase Warrant (right to buy) · Derivative | 1,000,000 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001387131-20-001250 · higgins-form4_020620.xml · derivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2030-02-06 F1 · price: Issued in connection with the purchase of a $250,000 promissory note for no additional consideration. Read SEC document |
| February 06, 2020 Filed Feb 10, 2020 21:07 UTC |
Lightcap Jeffrey CDirector · 10% owner
|
GrantSenior Secured Convertible Note due February 2030 · Derivative | Not disclosed | $100,000.00 Strike: $0.01 | $100,000.00 |
DisclosureSEC source: 0000908662-20-000014 · edgar.xml · derivative · entry 1 Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 10,000,000 shares Expires 2030-02-05 F1 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 16:07 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 | $1,637.00 |
DisclosureSEC source: 0000908662-20-000003 · 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 · 54,559 shares Expires 2029-05-14 F1 · security: On December 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jan 2, 2020 16:07 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 | $132,507.00 |
DisclosureSEC source: 0000908662-20-000003 · 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 · 331,267 shares Expires 2024-01-15 F1 · security: On December 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jan 2, 2020 16:07 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 | $115,540.00 |
DisclosureSEC source: 0000908662-20-000003 · 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 · 288,851 shares Expires 2024-01-15 F1 · security: On December 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jan 2, 2020 21:07 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 | $1,637.00 |
DisclosureSEC source: 0000908662-20-000004 · 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 · 54,559 shares Expires 2029-05-14 F1 · security: On December 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jan 2, 2020 21:07 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 | $132,507.00 |
DisclosureSEC source: 0000908662-20-000004 · 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 · 331,267 shares Expires 2024-01-15 F1 · security: On December 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jan 2, 2020 21:07 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 | $115,540.00 |
DisclosureSEC source: 0000908662-20-000004 · 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 · 288,851 shares Expires 2024-01-15 F1 · security: On December 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Oct 2, 2019 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 | $1,587.00 |
DisclosureSEC source: 0000908662-19-000193 · 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 · 52,905 shares Expires 2029-05-14 F1 · security: On September 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Oct 2, 2019 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 | $129,275.00 |
DisclosureSEC source: 0000908662-19-000193 · 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 · 323,187 shares Expires 2024-01-15 F1 · security: On September 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Oct 2, 2019 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 | $112,722.00 |
DisclosureSEC source: 0000908662-19-000193 · 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 · 281,805 shares Expires 2024-01-15 F1 · security: On September 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Oct 2, 2019 20:06 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 | $1,587.00 |
DisclosureSEC source: 0000908662-19-000194 · 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 · 52,905 shares Expires 2029-05-14 F1 · security: On September 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Oct 2, 2019 20:06 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 | $129,275.00 |
DisclosureSEC source: 0000908662-19-000194 · 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 · 323,187 shares Expires 2024-01-15 F1 · security: On September 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Oct 2, 2019 20:06 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 | $112,722.00 |
DisclosureSEC source: 0000908662-19-000194 · 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 · 281,805 shares Expires 2024-01-15 F1 · security: On September 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jul 2, 2019 09:15 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 | $789.00 |
DisclosureSEC source: 0000908662-19-000172 · 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 · 26,302 shares Expires 2029-05-14 F1 · security: On June 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jul 2, 2019 09:15 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 | $126,122.00 |
DisclosureSEC source: 0000908662-19-000172 · 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 · 315,304 shares Expires 2024-01-15 F1 · security: On June 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jul 2, 2019 09:15 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 | $109,973.00 |
DisclosureSEC source: 0000908662-19-000172 · 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 · 274,932 shares Expires 2024-01-15 F1 · security: On June 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jul 2, 2019 13:16 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 | $789.00 |
DisclosureSEC source: 0000908662-19-000173 · 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 · 26,302 shares Expires 2029-05-14 F1 · security: On June 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jul 2, 2019 13:16 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 | $126,122.00 |
DisclosureSEC source: 0000908662-19-000173 · 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 · 315,304 shares Expires 2024-01-15 F1 · security: On June 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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, 2019 Filed Jul 2, 2019 13:16 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 | $109,973.00 |
DisclosureSEC source: 0000908662-19-000173 · 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 · 274,932 shares Expires 2024-01-15 F1 · security: On June 30, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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 |
| May 15, 2019 Filed May 17, 2019 21:02 UTC |
HIGGINS JAMES RDirector · 10% owner
|
GrantCommon Stock Warrant (right to buy) · Derivative | 250,000 | $0.00 Strike: $0.03 | $0.00 |
DisclosureSEC source: 0001387131-19-003794 · higgins-form4_051519.xml · derivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-05-15 F1 · price: Issued in connection with the purchase of a $50,000 promissory note for no additional consideration. Read SEC document |
| May 15, 2019 Filed May 17, 2019 20:45 UTC |
Lightcap Jeffrey CDirector · 10% owner
|
GrantSenior Secured Convertible Note due May 2029 · Derivative | Not disclosed | $50,000.00 Strike: $0.03 | $50,000.00 |
DisclosureSEC source: 0000908662-19-000126 · edgar.xml · derivative · entry 1 Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 1,666,667 shares Expires 2029-05-14 F1 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2019 Filed Apr 2, 2019 16:02 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 | $128,922.00 |
DisclosureSEC source: 0000908662-19-000110 · 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 · 322,306 shares Expires 2024-01-15 F1 · security: On March 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2019 Filed Apr 2, 2019 16:02 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 | $112,415.00 |
DisclosureSEC source: 0000908662-19-000110 · 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 · 281,037 shares Expires 2024-01-15 F1 · security: On March 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2019 Filed Apr 2, 2019 20:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $128,922.00 |
DisclosureSEC source: 0000908662-19-000111 · 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 · 322,306 shares Expires 2024-01-15 F1 · security: On March 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2019 Filed Apr 2, 2019 20:04 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $112,415.00 |
DisclosureSEC source: 0000908662-19-000111 · 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 · 281,037 shares Expires 2024-01-15 F1 · security: On March 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Jan 3, 2019 16:10 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 | $148,968.00 |
DisclosureSEC source: 0000908662-19-000010 · 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 · 372,420 shares Expires 2024-01-15 F1 · security: On December 31, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Jan 3, 2019 16:10 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 | $129,894.00 |
DisclosureSEC source: 0000908662-19-000010 · 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 · 324,735 shares Expires 2024-01-15 F1 · security: On December 31, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Jan 3, 2019 21:11 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $148,968.00 |
DisclosureSEC source: 0000908662-19-000011 · 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 · 372,420 shares Expires 2024-01-15 F1 · security: On December 31, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Jan 3, 2019 21:11 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
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $129,894.00 |
DisclosureSEC source: 0000908662-19-000011 · 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 · 324,735 shares Expires 2024-01-15 F1 · security: On December 31, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Oct 1, 2018 16:17 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 | $144,453.00 |
DisclosureSEC source: 0000908662-18-000210 · 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 · 361,135 shares Expires 2024-01-15 F1 · security: On September 30, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Oct 1, 2018 16:17 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 | $125,958.00 |
DisclosureSEC source: 0000908662-18-000210 · 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 · 314,894 shares Expires 2024-01-15 F1 · security: On September 30, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Oct 1, 2018 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
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GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $144,453.00 |
DisclosureSEC source: 0000908662-18-000211 · 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 · 361,135 shares Expires 2024-01-15 F1 · security: On September 30, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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, 2018 Filed Oct 1, 2018 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
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GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $125,958.00 |
DisclosureSEC source: 0000908662-18-000211 · 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 · 314,894 shares Expires 2024-01-15 F1 · security: On September 30, 2018 the 2014 Notes held by HCP Fund and Hybrid Fund 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 |
| July 13, 2018 Filed Jul 17, 2018 17:32 UTC |
Johnson Steven G.Director · President/CEO/Sec/Treas. · 10% owner
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GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $500,000.00 Strike: $0.05 | $500,000.00 |
DisclosureSEC source: 0001387131-18-003165 · johnson-form4_071318.xml · derivative · entry 1 Johnson Steven G. · CIK 0001495505 · Director · President/CEO/Sec/Treas. · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 10,000,000 shares Expires 2028-07-12 Read SEC document |
| July 13, 2018 Filed Jul 17, 2018 21:32 UTC |
HIGGINS JAMES RDirector · 10% owner
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GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $200,000.00 Strike: $0.05 | $200,000.00 |
DisclosureSEC source: 0001387131-18-003164 · higgins-form4_071318.xml · derivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 4,000,000 shares Expires 2028-07-12 Read SEC document |
| July 13, 2018 Filed Jul 17, 2018 21:31 UTC |
EPSTEIN STEVEN BDirector
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GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $50,000.00 Strike: $0.05 | $50,000.00 |
DisclosureSEC source: 0001387131-18-003163 · epstein-form4_071318.xml · derivative · entry 1 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 1,000,000 shares Expires 2028-07-12 Read SEC document |
| July 13, 2018 Filed Jul 17, 2018 16:11 UTC |
Lightcap Jeffrey CDirector · 10% owner
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GrantSenior Secured Convertible Note due July 2028 · Derivative | Not disclosed | $250,000.00 Strike: $0.05 | $250,000.00 |
DisclosureSEC source: 0000908662-18-000190 · edgar.xml · derivative · entry 1 Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 5,000,000 shares Expires 2028-07-12 F1 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 16:10 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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Disposition to issuerCommon Stock Warrants (Right to Buy) · Derivative | 6,294,403 | Not disclosed Strike: $1.40 | Not disclosed |
DisclosureSEC source: 0000908662-18-000185 · edgar.xml · derivative · entry 6 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: 0 Underlying: Common Stock · 6,294,403 shares Expires not disclosed F1 · security: Notes were amended to remove the conversion right and warrants were surrendered. F1 · price: Notes were amended to remove the conversion right and warrants were surrendered. F2 · derivative.exercise_date: No longer exercisable. F2 · derivative.expiration_date: No longer 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.