CRVW

SEC source: 0001387131-17-002123 · wheeler-form4_041317.xml · nonDerivative · entry 1

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,534,518

SEC source: 0001387131-17-002125 · epstein-form4_041317.xml · nonDerivative · entry 1

EPSTEIN STEVEN B · CIK 0001276619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See

Disclosed balance after: 1,780,000

F1 · ownership.nature: Steven B. and Deborah Epstein

SEC source: 0001387131-17-002178 · wheeler-form4a_041317.xml · nonDerivative · entry 1

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,466,768

SEC source: 0001387131-17-002174 · epstein-form4a_041317.xml · nonDerivative · entry 1

EPSTEIN STEVEN B · CIK 0001276619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See

Disclosed balance after: 1,780,000

F1 · ownership.nature: Steven B. and Deborah Epstein

SEC source: 0001387131-17-002257 · wheeler-form4a_041317.xml · nonDerivative · entry 1

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,466,768

F1 · kind: This amendment is being filed to correct this code from "A" to "P".

SEC source: 0001387131-17-002065 · wheeler-form4_041117.xml · nonDerivative · entry 2

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,164,918

SEC source: 0001387131-17-002176 · wheeler-form4a_041017.xml · nonDerivative · entry 3

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,336,368

SEC source: 0001387131-17-002259 · wheeler-form4a_041017.xml · nonDerivative · entry 3

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,336,368

F2 · kind: This amendment is being filed to correct this code from "A" to "P".

SEC source: 0001387131-17-002065 · wheeler-form4_041117.xml · nonDerivative · entry 1

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,136,368

F1 · price: These shares were purchased in multiple transactions at prices ranging from $0.1301 to $0.1514, 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.

SEC source: 0001387131-17-002176 · wheeler-form4a_041017.xml · nonDerivative · entry 2

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,136,368

SEC source: 0001387131-17-002259 · wheeler-form4a_041017.xml · nonDerivative · entry 2

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,136,368

F2 · kind: This amendment is being filed to correct this code from "A" to "P".

SEC source: 0001387131-17-002043 · epstein-form4_041017.xml · nonDerivative · entry 1

EPSTEIN STEVEN B · CIK 0001276619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See

Disclosed balance after: 1,730,000

F1 · ownership.nature: Steven B. and Deborah Epstein

SEC source: 0001387131-17-002176 · wheeler-form4a_041017.xml · nonDerivative · entry 1

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 697,095

F1 · price: (1) These shares were purchased in multiple transactions at prices ranging from $0.1300 to $0.1400, 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.

SEC source: 0001387131-17-002259 · wheeler-form4a_041017.xml · nonDerivative · entry 1

Wheeler L. Allen · CIK 0001495507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 697,095

F2 · 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 $0.1300 to $0.1400, 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.

SEC source: 0001387131-17-001974 · thompson_form4-040517.xml · nonDerivative · entry 2

Thompson Jason T · CIK 0001588061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737,500

SEC source: 0001387131-17-001974 · thompson_form4-040517.xml · nonDerivative · entry 1

Thompson Jason T · CIK 0001588061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 687,500

SEC source: 0000908662-17-000088 · 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 · 300,252 shares

Expires 2024-01-15

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000088 · 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 · 261,807 shares

Expires 2024-01-15

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000088 · 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 · 106,946 shares

Expires 2022-01-30

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000088 · 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 · 93,252 shares

Expires 2022-01-30

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000088 · 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 · 423,483 shares

Expires 2021-04-20

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000088 · 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 · 369,260 shares

Expires 2021-04-20

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000089 · 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 · 300,252 shares

Expires 2024-01-15

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000089 · 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 · 261,807 shares

Expires 2024-01-15

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000089 · 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 · 106,946 shares

Expires 2022-01-30

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000089 · 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 · 93,252 shares

Expires 2022-01-30

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000089 · 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 · 423,483 shares

Expires 2021-04-20

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000089 · 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 · 369,260 shares

Expires 2021-04-20

F1 · security: On March 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 724,319 shares of Common Stock for HCP Fund (as defined below) and 830,681 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.

SEC source: 0000908662-17-000002 · 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 · 291,153 shares

Expires 2024-01-15

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000002 · 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 · 253,873 shares

Expires 2024-01-15

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000002 · 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 · 118,583 shares

Expires 2022-01-30

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000002 · 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 · 103,399 shares

Expires 2022-01-30

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000002 · 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 · 413,155 shares

Expires 2021-04-20

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000002 · 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 · 360,253 shares

Expires 2021-04-20

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000003 · 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 · 291,153 shares

Expires 2024-01-15

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000003 · 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 · 253,873 shares

Expires 2024-01-15

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000003 · 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 · 118,583 shares

Expires 2022-01-30

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000003 · 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 · 103,399 shares

Expires 2022-01-30

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000003 · 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 · 413,155 shares

Expires 2021-04-20

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0000908662-17-000003 · 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 · 360,253 shares

Expires 2021-04-20

F1 · security: On December 31, 2016 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 717,526 shares of Common Stock for HCP Fund (as defined below) and 822,891 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.

SEC source: 0001387131-16-008420 · johnson-form4_120716.xml · derivative · entry 1

Johnson Steven G. · CIK 0001495505 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2026-12-06

F1 · derivative.exercise_date: 666,667 shares vest on each of December 7, 2017 and 2018; 666,666 shares vest on December 7, 2019.

SEC source: 0001387131-16-008419 · mcree-form4_120716.xml · derivative · entry 1

McRee Sandra K · CIK 0001588618 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2026-12-06

F1 · derivative.exercise_date: 666,667 shares vest on each of December 7, 2017 and 2018; 666,666 shares vest on December 7, 2019.

SEC source: 0001387131-16-008358 · mcree-form4_120216.xml · nonDerivative · entry 1

McRee Sandra K · CIK 0001588618 · COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See

Disclosed balance after: 750,000

F1 · ownership.nature: Sandra K. McRee TTEE, U/A DTD July 30, 2007, Sandra K. McRee Rev Liv Trust

SEC source: 0001387131-16-008336 · epstein-form4_112916.xml · nonDerivative · entry 1

EPSTEIN STEVEN B · CIK 0001276619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See

Disclosed balance after: 500,000

F1 · price: These shares were purchased in multiple transactions at prices ranging from $0.068 to $0.07, 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.

F2 · ownership.nature: Steven B. and Deborah Epstein

SEC source: 0001387131-16-008209 · higgins-form4_112316.xml · nonDerivative · entry 2

HIGGINS JAMES R · CIK 0001606619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See

Disclosed balance after: 4,823,229

F2 · ownership.nature: Julia A. Higgins Revocable Trust, DTD December 1992, Julia A. Higgins, James Higgins TTEEs.

SEC source: 0001387131-16-008209 · higgins-form4_112316.xml · nonDerivative · entry 1

HIGGINS JAMES R · CIK 0001606619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See

Disclosed balance after: 1,823,229

F1 · price: These shares were purchased in multiple transactions at prices ranging from $0.053 to $0.060, 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.

F2 · ownership.nature: Julia A. Higgins Revocable Trust, DTD December 1992, Julia A. Higgins, James Higgins TTEEs.

SEC source: 0001387131-16-008191 · thompson-form4_112216.xml · nonDerivative · entry 1

Thompson Jason T · CIK 0001588061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 537,500

SEC source: 0001387131-16-008105 · johnson-form4_111716.xml · nonDerivative · entry 1

Johnson Steven G. · CIK 0001495505 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · SJ Capital, LLC

Disclosed balance after: 15,770,593

F1 · balance_after: Total shares beneficially owned has been reduced by 251,750 shares to correct a previous calculation error.

SEC source: 0000908662-16-000591 · 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 · 282,330 shares

Expires 2024-01-15

F1 · security: On September 30, 2016 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 697,913 shares of Common Stock for HCP Fund (as defined below) and 800,398 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.

SEC source: 0000908662-16-000591 · 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 · 246,180 shares

Expires 2024-01-15

F1 · security: On September 30, 2016 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 697,913 shares of Common Stock for HCP Fund (as defined below) and 800,398 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.