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 |
|---|---|---|---|---|---|---|
| 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
|
Disposition to issuerCommon Stock Warrants (Right to Buy) · Derivative | 5,488,456 | Not disclosed Strike: $1.40 | Not disclosed |
DisclosureSEC source: 0000908662-18-000185 · edgar.xml · derivative · entry 5 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: 0 Underlying: Common Stock · 5,488,456 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. 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 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
|
Disposition to issuerSenior Secured Convertible Note due 2022 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $5,685,590.00 |
DisclosureSEC source: 0000908662-18-000185 · 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 Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 4,548,472 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 |
| 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
|
Disposition to issuerSenior Secured Convertible Note due 2022 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $4,957,596.00 |
DisclosureSEC source: 0000908662-18-000185 · 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 HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 3,966,077 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. 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 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
|
Disposition to issuerSenior Secured Convertible Note due 2021 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $24,555,544.00 |
DisclosureSEC source: 0000908662-18-000185 · 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 · 19,644,435 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 |
| 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
|
Disposition to issuerSenior Secured Convertible Note due 2021 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $21,411,405.00 |
DisclosureSEC source: 0000908662-18-000185 · 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 · 17,129,124 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. 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 10, 2018 Filed Jul 12, 2018 20:12 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
|
Disposition to issuerCommon Stock Warrants (Right to Buy) · Derivative | 6,294,403 | Not disclosed Strike: $1.40 | Not disclosed |
DisclosureSEC source: 0000908662-18-000186 · edgar.xml · derivative · entry 6 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 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 |
| July 10, 2018 Filed Jul 12, 2018 20:12 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
|
Disposition to issuerCommon Stock Warrants (Right to Buy) · Derivative | 5,488,456 | Not disclosed Strike: $1.40 | Not disclosed |
DisclosureSEC source: 0000908662-18-000186 · edgar.xml · derivative · entry 5 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: 0 Underlying: Common Stock · 5,488,456 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. 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 10, 2018 Filed Jul 12, 2018 20:12 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
|
Disposition to issuerSenior Secured Convertible Note due 2022 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $5,685,590.00 |
DisclosureSEC source: 0000908662-18-000186 · 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 Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 4,548,472 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 |
| July 10, 2018 Filed Jul 12, 2018 20:12 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
|
Disposition to issuerSenior Secured Convertible Note due 2022 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $4,957,596.00 |
DisclosureSEC source: 0000908662-18-000186 · 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 HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 3,966,077 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. 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 10, 2018 Filed Jul 12, 2018 20:12 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
|
Disposition to issuerSenior Secured Convertible Note due 2021 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $24,555,544.00 |
DisclosureSEC source: 0000908662-18-000186 · 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 · 19,644,435 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 |
| July 10, 2018 Filed Jul 12, 2018 20:12 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
|
Disposition to issuerSenior Secured Convertible Note due 2021 · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $21,411,405.00 |
DisclosureSEC source: 0000908662-18-000186 · 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 · 17,129,124 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. 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, 2018 Filed Jul 2, 2018 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 | $140,077.00 |
DisclosureSEC source: 0000908662-18-000180 · 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: Not disclosed Underlying: Common Stock · 350,191 shares Expires 2024-01-15 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 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 | $122,141.00 |
DisclosureSEC source: 0000908662-18-000180 · edgar.xml · derivative · entry 5 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 · 305,352 shares Expires 2024-01-15 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $138,673.00 |
DisclosureSEC source: 0000908662-18-000180 · 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 Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 110,938 shares Expires 2022-01-30 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $120,917.00 |
DisclosureSEC source: 0000908662-18-000180 · 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 HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 96,734 shares Expires 2022-01-30 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $598,916.00 |
DisclosureSEC source: 0000908662-18-000180 · 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 · 479,133 shares Expires 2021-04-20 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $522,229.00 |
DisclosureSEC source: 0000908662-18-000180 · 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 · 417,784 shares Expires 2021-04-20 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 20:08 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 | $140,077.00 |
DisclosureSEC source: 0000908662-18-000181 · edgar.xml · derivative · entry 6 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 350,191 shares Expires 2024-01-15 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 20:08 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 | $122,141.00 |
DisclosureSEC source: 0000908662-18-000181 · edgar.xml · derivative · entry 5 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 305,352 shares Expires 2024-01-15 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 20:08 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $138,673.00 |
DisclosureSEC source: 0000908662-18-000181 · 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 Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 110,938 shares Expires 2022-01-30 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 20:08 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $120,917.00 |
DisclosureSEC source: 0000908662-18-000181 · 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 HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 96,734 shares Expires 2022-01-30 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 20:08 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $598,916.00 |
DisclosureSEC source: 0000908662-18-000181 · 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 · 479,133 shares Expires 2021-04-20 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Jul 2, 2018 20:08 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $522,229.00 |
DisclosureSEC source: 0000908662-18-000181 · 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 · 417,784 shares Expires 2021-04-20 F1 · security: On June 30, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 819,869 shares of Common Stock for HCP Fund (as defined below) and 940,262 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| April 04, 2018 Filed Apr 6, 2018 21:32 UTC |
HIGGINS JAMES RDirector
|
PurchaseCommon Stock | 128,555 | $0.03 | $4,409.44 |
DisclosureSEC source: 0001387131-18-001459 · higgins-form4_040418.xml · nonDerivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 5,140,784 F3 · price: These shares were purchased in multiple transactions at prices ranging from $0.034075 to $0.035, inclusive. The reporting person undertakes to provide to CareView Communications, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: Julia A. Higgins Revocable Trust, Dtd 12/1992, Julia A Higgins James Higgins, TTEEs Read SEC document |
| April 04, 2018 Filed Apr 11, 2018 01:20 UTC |
HIGGINS JAMES RDirector
|
PurchaseCommon Stock | 129,700 | $0.04 | $4,785.93 |
DisclosureSEC source: 0001387131-18-001520 · higgins-form4_040618.xml · nonDerivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 5,270,484 F3 · price: These shares were purchased in multiple transactions at prices ranging from $0.035 to $0.038, inclusive. The reporting person undertakes to provide to CareView Communications, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: Julia A. Higgins Revocable Trust, Dtd 12/1992, Julia A Higgins James Higgins, TTEEs Read SEC document |
| March 31, 2018 Filed Apr 3, 2018 11:41 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 | $135,832.00 |
DisclosureSEC source: 0000908662-18-000082 · 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: Not disclosed Underlying: Common Stock · 339,579 shares Expires 2024-01-15 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 11:41 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 | $118,440.00 |
DisclosureSEC source: 0000908662-18-000082 · edgar.xml · derivative · entry 5 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 · 296,099 shares Expires 2024-01-15 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 11:41 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $135,291.00 |
DisclosureSEC source: 0000908662-18-000082 · 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 Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 108,233 shares Expires 2022-01-30 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 11:41 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $117,968.00 |
DisclosureSEC source: 0000908662-18-000082 · 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 HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 94,374 shares Expires 2022-01-30 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 11:41 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $584,308.00 |
DisclosureSEC source: 0000908662-18-000082 · 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 · 467,446 shares Expires 2021-04-20 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 11:41 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $509,492.00 |
DisclosureSEC source: 0000908662-18-000082 · 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 · 407,594 shares Expires 2021-04-20 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 15:42 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 | $135,832.00 |
DisclosureSEC source: 0000908662-18-000083 · edgar.xml · derivative · entry 6 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 339,579 shares Expires 2024-01-15 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 15:42 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 | $118,440.00 |
DisclosureSEC source: 0000908662-18-000083 · edgar.xml · derivative · entry 5 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 296,099 shares Expires 2024-01-15 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 15:42 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $135,291.00 |
DisclosureSEC source: 0000908662-18-000083 · 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 Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 108,233 shares Expires 2022-01-30 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 15:42 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 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $117,968.00 |
DisclosureSEC source: 0000908662-18-000083 · 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 HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 94,374 shares Expires 2022-01-30 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 15:42 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $584,308.00 |
DisclosureSEC source: 0000908662-18-000083 · 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 · 467,446 shares Expires 2021-04-20 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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, 2018 Filed Apr 3, 2018 15:42 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 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $509,492.00 |
DisclosureSEC source: 0000908662-18-000083 · 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 · 407,594 shares Expires 2021-04-20 F1 · security: On March 31, 2018 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 798,067 shares of Common Stock for HCP Fund (as defined below) and 915,258 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015 and February 23, 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 23, 2018 Filed Feb 27, 2018 21:48 UTC |
Wheeler L. AllenDirector · 10% owner
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GrantCommon Stock Warrants (Right to Buy) · Derivative | 75,000 | Not disclosed Strike: $0.05 | Not disclosed |
DisclosureSEC source: 0001387131-18-000846 · wheeler-form4_022318.xml · derivative · entry 2 Wheeler L. Allen · CIK 0001495507 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-02-23 F1 · price: Issued in connection with the purchase of the convertible notes for no additional consideration. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 21:48 UTC |
Wheeler L. AllenDirector · 10% owner
|
GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $300,000.00 Strike: $0.05 | $300,000.00 |
DisclosureSEC source: 0001387131-18-000846 · wheeler-form4_022318.xml · derivative · entry 1 Wheeler L. Allen · CIK 0001495507 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 6,000,000 shares Expires 2028-02-22 Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 21:44 UTC |
Johnson Steven G.Director · President/CEO/Sec/Treas. · 10% owner
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GrantCommon Stock Warrants (Right to Buy) · Derivative | 150,000 | Not disclosed Strike: $0.05 | Not disclosed |
DisclosureSEC source: 0001387131-18-000840 · johnson-form4_022318.xml · derivative · entry 2 Johnson Steven G. · CIK 0001495505 · Director · President/CEO/Sec/Treas. · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-02-23 F1 · price: Issued in connection with the purchase of the convertible notes for no additional consideration. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 21:44 UTC |
Johnson Steven G.Director · President/CEO/Sec/Treas. · 10% owner
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GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $600,000.00 Strike: $0.05 | $600,000.00 |
DisclosureSEC source: 0001387131-18-000840 · johnson-form4_022318.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 · 12,000,000 shares Expires 2028-02-22 Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 02:51 UTC |
Thompson Jason TDirector · Chief Accounting Officer
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GrantCommon Stock Warrants (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $0.05 | Not disclosed |
DisclosureSEC source: 0001387131-18-000848 · thompson-form4_022318.xml · derivative · entry 2 Thompson Jason T · CIK 0001588061 · Director · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-02-23 F1 · price: Issued in connection with the purchase of the convertible notes for no additional consideration. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 02:51 UTC |
Thompson Jason TDirector · Chief Accounting Officer
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GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $100,000.00 Strike: $0.05 | $100,000.00 |
DisclosureSEC source: 0001387131-18-000848 · thompson-form4_022318.xml · derivative · entry 1 Thompson Jason T · CIK 0001588061 · Director · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 2,000,000 shares Expires 2028-02-22 Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 02:50 UTC |
EPSTEIN STEVEN BDirector
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GrantCommon Stock Warrants (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $0.05 | Not disclosed |
DisclosureSEC source: 0001387131-18-000847 · epstein-form4_022318.xml · derivative · entry 2 EPSTEIN STEVEN B · CIK 0001276619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-02-23 F1 · price: Issued in connection with the purchase of the convertible notes for no additional consideration. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 02:50 UTC |
EPSTEIN STEVEN BDirector
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GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $100,000.00 Strike: $0.05 | $100,000.00 |
DisclosureSEC source: 0001387131-18-000847 · epstein-form4_022318.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 · 2,000,000 shares Expires 2028-02-22 Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 02:47 UTC | GrantCommon Stock Warrants (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $0.05 | Not disclosed |
DisclosureSEC source: 0001387131-18-000844 · mcree-form4_022318.xml · derivative · entry 2 McRee Sandra K · CIK 0001588618 · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-02-23 F1 · price: Issued in connection with the purchase of the convertible notes for no additional consideration. Read SEC document |
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| February 23, 2018 Filed Feb 28, 2018 02:47 UTC | GrantSenior Secured Convertible Note Due 2028 · Derivative | Not disclosed | $100,000.00 Strike: $0.05 | $100,000.00 |
DisclosureSEC source: 0001387131-18-000844 · mcree-form4_022318.xml · derivative · entry 1 McRee Sandra K · CIK 0001588618 · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 2,000,000 shares Expires 2028-02-22 Read SEC document |
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| February 23, 2018 Filed Feb 28, 2018 02:45 UTC |
HIGGINS JAMES RDirector · 10% owner
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GrantCommon Stock Warrants (Right to Buy) · Derivative | 125,000 | Not disclosed Strike: $0.05 | Not disclosed |
DisclosureSEC source: 0001387131-18-000842 · higgins-form4_022318.xml · derivative · entry 2 HIGGINS JAMES R · CIK 0001606619 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2028-02-23 F1 · price: Issued in connection with the purchase of the convertible notes for no additional consideration. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 02:45 UTC |
HIGGINS JAMES RDirector · 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: 0001387131-18-000842 · higgins-form4_022318.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 · 10,000,000 shares Expires 2028-02-22 Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 21:10 UTC |
Lightcap Jeffrey CDirector · 10% owner
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GrantCommon Stock Warrants (Right to Buy) · Derivative | 62,500 | Not disclosed Strike: $0.05 | Not disclosed |
DisclosureSEC source: 0000908662-18-000060 · edgar.xml · derivative · entry 2 Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,500 Underlying: Common Stock · 62,500 shares Expires 2028-02-22 F2 · price: Issued in connection with the purchase of the convertible notes for no additional consideration. F1 · derivative.exercise_date: Immediately exercisable. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.