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 |
|---|---|---|---|---|---|---|
| February 23, 2018 Filed Feb 27, 2018 21:10 UTC |
Lightcap Jeffrey CDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2028 · Derivative | Not disclosed | $250,000.00 Strike: $0.05 | $250,000.00 |
DisclosureSEC source: 0000908662-18-000060 · edgar.xml · derivative · entry 1 Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 5,000,000 shares Expires 2028-02-22 F1 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 10:31 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 | $131,716.00 |
DisclosureSEC source: 0000908662-18-000004 · 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 · 329,289 shares Expires 2024-01-15 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 10:31 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 | $114,851.00 |
DisclosureSEC source: 0000908662-18-000004 · 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 · 287,126 shares Expires 2024-01-15 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 10:31 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 | $131,991.00 |
DisclosureSEC source: 0000908662-18-000004 · 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 · 105,593 shares Expires 2022-01-30 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 10:31 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 | $115,091.00 |
DisclosureSEC source: 0000908662-18-000004 · 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 · 92,072 shares Expires 2022-01-30 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 10:31 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 | $570,057.00 |
DisclosureSEC source: 0000908662-18-000004 · 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 · 456,045 shares Expires 2021-04-20 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 10:31 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 | $497,065.00 |
DisclosureSEC source: 0000908662-18-000004 · 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 · 397,652 shares Expires 2021-04-20 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 15:32 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 | $131,716.00 |
DisclosureSEC source: 0000908662-18-000005 · 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 · 329,289 shares Expires 2024-01-15 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 15:32 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 | $114,851.00 |
DisclosureSEC source: 0000908662-18-000005 · 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 · 287,126 shares Expires 2024-01-15 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 15:32 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 | $131,991.00 |
DisclosureSEC source: 0000908662-18-000005 · 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 · 105,593 shares Expires 2022-01-30 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 15:32 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 | $115,091.00 |
DisclosureSEC source: 0000908662-18-000005 · 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 · 92,072 shares Expires 2022-01-30 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 15:32 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 | $570,057.00 |
DisclosureSEC source: 0000908662-18-000005 · 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 · 456,045 shares Expires 2021-04-20 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 15:32 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 | $497,065.00 |
DisclosureSEC source: 0000908662-18-000005 · 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 · 397,652 shares Expires 2021-04-20 F1 · security: On December 31, 2017 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 776,851 shares of Common Stock for HCP Fund (as defined below) and 890,927 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, 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 |
| November 20, 2017 Filed Nov 21, 2017 22:59 UTC |
HIGGINS JAMES RDirector
|
PurchaseCommon Stock | 20,000 | $0.04 | $800.00 |
DisclosureSEC source: 0001387131-17-005638 · higgins-form4_111717.xml · nonDerivative · entry 2 HIGGINS JAMES R · CIK 0001606619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 5,012,229 F1 · ownership.nature: Julia A Higgins Revocable Trust, Dtd 12/1992, Julia A Higgins, James Higgins, TTEEs Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 22:59 UTC |
HIGGINS JAMES RDirector
|
PurchaseCommon Stock | 57,000 | $0.04 | $2,280.00 |
DisclosureSEC source: 0001387131-17-005638 · higgins-form4_111717.xml · nonDerivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 4,992,229 F1 · ownership.nature: Julia A Higgins Revocable Trust, Dtd 12/1992, Julia A Higgins, James Higgins, TTEEs Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:23 UTC |
HIGGINS JAMES RDirector
|
PurchaseCommon Stock | 102,000 | $0.04 | $3,957.60 |
DisclosureSEC source: 0001387131-17-005586 · higgins-form4_111517.xml · nonDerivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 4,935,229 F1 · ownership.nature: Julia A Higgins Revocable Trust, Dtd 12/1992, Julia A Higgins, James Higgins, TTEEs Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $127,724.00 |
DisclosureSEC source: 0000908662-17-000201 · 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 · 319,311 shares Expires 2024-01-15 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $111,370.00 |
DisclosureSEC source: 0000908662-17-000201 · 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 · 278,426 shares Expires 2024-01-15 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $128,772.00 |
DisclosureSEC source: 0000908662-17-000201 · 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 · 103,017 shares Expires 2022-01-30 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $112,283.00 |
DisclosureSEC source: 0000908662-17-000201 · 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 · 89,827 shares Expires 2022-01-30 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $556,153.00 |
DisclosureSEC source: 0000908662-17-000201 · 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 · 444,922 shares Expires 2021-04-20 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Associates, LLCDirector · 10% owner
HealthCor Hybrid Offshore Master Fund, L.P.Director · 10% owner
HealthCor Hybrid Offshore GP, LLCDirector · 10% owner
HealthCor Group, LLCDirector · 10% owner
HealthCor Partners Management LPDirector · 10% owner
HealthCor Partners Management GP, LLCDirector · 10% owner
HealthCor Partners Fund LPDirector · 10% owner
HealthCor Partners LPDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $484,942.00 |
DisclosureSEC source: 0000908662-17-000201 · 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 · 387,954 shares Expires 2021-04-20 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 20:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $127,724.00 |
DisclosureSEC source: 0000908662-17-000202 · 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 · 319,311 shares Expires 2024-01-15 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 20:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $111,370.00 |
DisclosureSEC source: 0000908662-17-000202 · 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 · 278,426 shares Expires 2024-01-15 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 20:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $128,772.00 |
DisclosureSEC source: 0000908662-17-000202 · 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 · 103,017 shares Expires 2022-01-30 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 20:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $112,283.00 |
DisclosureSEC source: 0000908662-17-000202 · 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 · 89,827 shares Expires 2022-01-30 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 20:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $556,153.00 |
DisclosureSEC source: 0000908662-17-000202 · 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 · 444,922 shares Expires 2021-04-20 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 20:06 UTC |
HealthCor Management, L.P.Director · 10% owner
HealthCor Partners GP, LLCDirector · 10% owner
Lightcap Jeffrey CDirector · 10% owner
Cohen Arthur BruceDirector · 10% owner
Healey Joseph PatrickDirector · 10% owner
|
GrantSenior Secured Convertible Note due 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $484,942.00 |
DisclosureSEC source: 0000908662-17-000202 · 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 · 387,954 shares Expires 2021-04-20 F1 · security: On September 30, 2017 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 756,206 shares of Common Stock for HCP Fund (as defined below) and 867,250 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, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| August 31, 2017 Filed Sep 26, 2017 22:11 UTC |
HIGGINS JAMES RDirector
|
PurchaseCommon Stock | 10,000 | $0.06 | $600.00 |
DisclosureSEC source: 0001387131-17-004799 · higgins-form4_083117.xml · nonDerivative · entry 1 HIGGINS JAMES R · CIK 0001606619 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 4,833,229 F1 · ownership.nature: Julia A Higgins Revocable Trust, Dtd 12/1992, Julia A Higgins, James Higgins, TTEEs. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 10:41 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 | $123,854.00 |
DisclosureSEC source: 0000908662-17-000137 · 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 · 309,635 shares Expires 2024-01-15 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 10:41 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 | $107,995.00 |
DisclosureSEC source: 0000908662-17-000137 · 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 · 269,988 shares Expires 2024-01-15 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 10:41 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 | $125,631.00 |
DisclosureSEC source: 0000908662-17-000137 · 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 · 100,505 shares Expires 2022-01-30 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 10:41 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 | $109,545.00 |
DisclosureSEC source: 0000908662-17-000137 · 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 · 87,636 shares Expires 2022-01-30 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 10:41 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 | $542,588.00 |
DisclosureSEC source: 0000908662-17-000137 · 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 · 434,070 shares Expires 2021-04-20 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 10:41 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 | $473,114.00 |
DisclosureSEC source: 0000908662-17-000137 · 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 · 378,491 shares Expires 2021-04-20 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 14:42 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 | $123,854.00 |
DisclosureSEC source: 0000908662-17-000138 · 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 · 309,635 shares Expires 2024-01-15 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 14:42 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 | $107,995.00 |
DisclosureSEC source: 0000908662-17-000138 · 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 · 269,988 shares Expires 2024-01-15 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 14:42 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 | $125,631.00 |
DisclosureSEC source: 0000908662-17-000138 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 100,505 shares Expires 2022-01-30 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 14:42 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
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GrantSenior Secured Convertible Note due 2022 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $109,545.00 |
DisclosureSEC source: 0000908662-17-000138 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 87,636 shares Expires 2022-01-30 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 14:42 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
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GrantSenior Secured Convertible Note due 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $542,588.00 |
DisclosureSEC source: 0000908662-17-000138 · edgar.xml · derivative · entry 2 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 434,070 shares Expires 2021-04-20 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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, 2017 Filed Jul 5, 2017 14:42 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
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GrantSenior Secured Convertible Note due 2021 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $1.25 | $473,114.00 |
DisclosureSEC source: 0000908662-17-000138 · edgar.xml · derivative · entry 1 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 378,491 shares Expires 2021-04-20 F1 · security: On June 30, 2017 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 814,108 shares of Common Stock for HCP Fund (as defined below) and 844,210 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, 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 12, 2017 Filed Jun 16, 2017 20:31 UTC |
Freeman Jon EChief Financial Officer
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GrantNon-qualified stock option · Derivative | 500,000 | $0.00 Strike: $0.11 | $0.00 |
DisclosureSEC source: 0001387131-17-003305 · freeman-form4_061217.xml · derivative · entry 1 Freeman Jon E · CIK 0001709520 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2027-06-11 F1 · derivative.exercise_date: On each of June 12, 2018 and June 12, 2019, 166,667 shares vest and on June 12, 2019, the remaining 166,666 shares vest. Read SEC document |
| April 19, 2017 Filed Apr 20, 2017 17:35 UTC |
Wheeler L. AllenDirector
|
GrantCommon Stock | 347,179 | $0.20 | $69,435.80 |
DisclosureSEC source: 0001387131-17-002180 · wheeler-form4_041817.xml · nonDerivative · entry 2 Wheeler L. Allen · CIK 0001495507 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,856,345 Read SEC document |
| April 19, 2017 Filed Apr 26, 2017 08:10 UTC Amendment |
Wheeler L. AllenDirector
|
PurchaseCommon Stock | 347,179 | $0.20 | $69,435.80 |
DisclosureSEC source: 0001387131-17-002261 · wheeler-form4a_041817.xml · nonDerivative · entry 2 Wheeler L. Allen · CIK 0001495507 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,856,345 F1 · kind: This amendment is being filed to correct this code from "A" to "P". Read SEC document |
| April 18, 2017 Filed Apr 20, 2017 00:59 UTC |
WHITE DAVID RICHARDDirector
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GrantCommon Stock | 170,000 | $0.19 | $32,844.00 |
DisclosureSEC source: 0001387131-17-002158 · white-form4_041717.xml · nonDerivative · entry 2 WHITE DAVID RICHARD · CIK 0001603623 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,000 F2 · price: These shares were purchased in multiple transactions at prices ranging from $0.1925 to $0.1950, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| April 18, 2017 Filed Apr 20, 2017 17:35 UTC |
Wheeler L. AllenDirector
|
GrantCommon Stock | 42,398 | $0.18 | $7,419.65 |
DisclosureSEC source: 0001387131-17-002180 · wheeler-form4_041817.xml · nonDerivative · entry 1 Wheeler L. Allen · CIK 0001495507 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,509,166 Read SEC document |
| April 18, 2017 Filed Apr 26, 2017 08:10 UTC Amendment |
Wheeler L. AllenDirector
|
PurchaseCommon Stock | 42,398 | $0.18 | $7,419.65 |
DisclosureSEC source: 0001387131-17-002261 · wheeler-form4a_041817.xml · nonDerivative · entry 1 Wheeler L. Allen · CIK 0001495507 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,509,166 F1 · kind: This amendment is being filed to correct this code from "A" to "P". Read SEC document |
| April 18, 2017 Filed Apr 26, 2017 12:04 UTC Amendment |
WHITE DAVID RICHARDDirector
|
PurchaseCommon Stock | 170,000 | $0.19 | $32,844.00 |
DisclosureSEC source: 0001387131-17-002255 · white-form4a_041717.xml · nonDerivative · entry 2 WHITE DAVID RICHARD · CIK 0001603623 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,000 F3 · kind: This amendment is being filed to correct this code from "A" to "P". F2 · price: These shares were purchased in multiple transactions at prices ranging from $0.1925 to $0.1950, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| April 17, 2017 Filed Apr 20, 2017 00:59 UTC |
WHITE DAVID RICHARDDirector
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GrantCommon Stock | 100,000 | $0.17 | $16,890.00 |
DisclosureSEC source: 0001387131-17-002158 · white-form4_041717.xml · nonDerivative · entry 1 WHITE DAVID RICHARD · CIK 0001603623 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 F1 · price: These shares were purchased in multiple transactions at prices ranging from $0.1689 to $0.1690, 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. Read SEC document |
| April 17, 2017 Filed Apr 26, 2017 12:04 UTC Amendment |
WHITE DAVID RICHARDDirector
|
PurchaseCommon Stock | 100,000 | $0.17 | $16,890.00 |
DisclosureSEC source: 0001387131-17-002255 · white-form4a_041717.xml · nonDerivative · entry 1 WHITE DAVID RICHARD · CIK 0001603623 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 F3 · kind: This amendment is being filed to correct this code from "A" to "P". F1 · price: These shares were purchased in multiple transactions at prices ranging from $0.1689 to $0.1690, 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. 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.