Lightcap Jeffrey C

SEC source: 0001464521-26-000111 · form4.xml · derivative · entry 5

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 47,420 shares

Expires 2035-08-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: These stock options are fully exercisable.

SEC source: 0001464521-26-000111 · form4.xml · nonDerivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 293,681

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001464521-26-000089 · form4.xml · derivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,075

Underlying: Common Stock · 16,075 shares

Expires 2036-06-16

F1 · derivative.exercise_date: The option will vest in full on the earlier of the day prior to Heartflow, Inc.'s annual meeting of shareholders in 2027 and the first anniversary of the grant date, subject to continued service through such date.

SEC source: 0001464521-26-000050 · form4.xml · nonDerivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 246,261

F1 · shares: On March 24, 2026, HCPCIV 1, LLC ("HCPCIV") effected a pro rata in-kind distribution of Heartflow, Inc. common stock to its members in accordance with its operating agreement, including 206,261 shares allocable to Mr. Lightcap based on his indirect interest in HCPCIV immediately prior to the distribution. Following the distribution, HCPCIV is being dissolved. After giving effect to the distribution, Mr. Lightcap's beneficial ownership is held directly (and no longer indirectly through HCPCIV) to the extent of the shares received.

SEC source: 0001464521-25-000039 · form4.xml · nonDerivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · price: This transaction was executed in multiple trades at price ranging from $25.645 to $26.750. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 11

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 96,068 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · shares: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II above on an as-converted basis.

F6 · derivative.exercise_date: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II above on an as-converted basis.

F6 · derivative.expiration_date: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 10

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 452,528 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · shares: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · derivative.exercise_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · derivative.expiration_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 9

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,337,337 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · shares: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · derivative.exercise_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · derivative.expiration_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 8

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,099,378 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F4 · shares: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F4 · price: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F4 · derivative.exercise_date: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F4 · derivative.expiration_date: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 7

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HealthCor Partners Fund II, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 208,604 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · shares: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · derivative.exercise_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · derivative.expiration_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 6

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,630,231 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · shares: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · derivative.exercise_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · derivative.expiration_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 5

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HealthCor Partners Fund, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,248,939 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · shares: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · price: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · derivative.exercise_date: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · derivative.expiration_date: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 4

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HealthCor Partners Fund II, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 624,471 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · shares: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · price: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · derivative.exercise_date: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F1 · derivative.expiration_date: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · nonDerivative · entry 3

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 4,615,542

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F4 · price: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F5 · price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F6 · price: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · nonDerivative · entry 2

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HealthCor Partners Fund, L.P.

Disclosed balance after: 1,248,939

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · nonDerivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HealthCor Partners Fund II, L.P.

Disclosed balance after: 833,075

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series C preferred stock automatically converted into approximately 0.5764 shares of Heartflow, Inc.'s ("Heartflow") common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F2 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported in Table II above on an as-converted basis.

F3 · ownership.nature: Mr. Lightcap is a controlling member of each of HCPCIV 1, LLC, HealthCor Partners Fund II, L.P. and HealthCor Partners Fund, L.P. and may be deemed to have voting and dispositive power with respect to the shares. Mr. Lightcap disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001628280-25-039729 · wk-form4_1754960433.xml · derivative · entry 12

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,420

Underlying: Common Stock · 47,420 shares

Expires 2035-08-07

F7 · derivative.exercise_date: The option will vest in full on the earlier of Heartflow's annual meeting of shareholders in 2026 and the first anniversary of the grant date, subject to continued service through such date.

SEC source: 0001062993-23-012296 · form4.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: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 93,485,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · 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: 0001062993-23-012296 · form4.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: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 86,515,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · 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: 0001062993-23-012296 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: 186,970,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · 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: 0001062993-23-012296 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: 173,030,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · 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: 0001387131-23-004296 · lightcap-form4_033023.xml · derivative · entry 4

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 7,000,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: See footnote 1.

F3 · derivative.exercise_date: The Replacement Note was convertible immediately after issuance.

F2 · ownership.nature: Shares held by PENSCO Trust Company, LLC, not in corporate capacity but solely as Custodian for Individual Retirement Account of Jeffrey C. Lightcap.

SEC source: 0001387131-23-004296 · lightcap-form4_033023.xml · derivative · entry 3

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: See footnote 1.

F3 · derivative.exercise_date: The Replacement Note was convertible immediately after issuance.

SEC source: 0001387131-23-004296 · lightcap-form4_033023.xml · nonDerivative · entry 2

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 7,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On March 30, 2023, the Reporting Persons converted Replacement Notes dated December 30, 2022 for an aggregate of $1,750,000 into an aggregate of 17,500,000 shares of the Company's Common Stock at a conversion price of $0.10 per share.

F2 · ownership.nature: Shares held by PENSCO Trust Company, LLC, not in corporate capacity but solely as Custodian for Individual Retirement Account of Jeffrey C. Lightcap.

SEC source: 0001387131-23-004296 · lightcap-form4_033023.xml · nonDerivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On March 30, 2023, the Reporting Persons converted Replacement Notes dated December 30, 2022 for an aggregate of $1,750,000 into an aggregate of 17,500,000 shares of the Company's Common Stock at a conversion price of $0.10 per share.

SEC source: 0001062993-23-008385 · form4.xml · derivative · entry 12

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: No plan indicated

Ownership: Indirect · By Joseph Healey

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,000,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · derivative · entry 11

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: No plan indicated

Ownership: Indirect · By Arthur Cohen

Disclosed balance after: Not disclosed

Underlying: Common Stock · 8,141,660 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · derivative · entry 10

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: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap IRA

Disclosed balance after: Not disclosed

Underlying: Common Stock · 7,000,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · derivative · entry 9

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: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,500,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · derivative · entry 8

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: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 93,485,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · 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: 0001062993-23-008385 · form4.xml · derivative · entry 7

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: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 86,515,000 shares

Expires 2023-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · 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: 0001062993-23-008385 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By Joseph Healey

Disclosed balance after: 6,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By Arthur Cohen

Disclosed balance after: 8,141,660

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap IRA

Disclosed balance after: 7,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap

Disclosed balance after: 6,500,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-008385 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: 93,485,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · 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: 0001062993-23-008385 · form4.xml · nonDerivative · 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: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: 86,515,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · 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: 0001839882-23-000270 · ownership.xml · derivative · entry 10

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 10,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 9

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 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 8

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 25,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 7

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 25,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 6

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 70,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 5

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,637,716 shares

Expires 2030-02-06

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 4

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,302,972 shares

Expires 2029-05-12

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 3

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,659,597 shares

Expires 2028-07-10

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 2

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032,015 shares

Expires 2028-02-22

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001839882-23-000270 · ownership.xml · derivative · entry 1

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Penson C/F Jeffrey C. Lightcap (IRA)

Disclosed balance after: 0

Underlying: Common Stock · 2,996,194 shares

Expires 2025-02-16

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, with an aggregate principal balance of $2,757,074, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 11,108,653 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 16

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 Joseph Healey

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,000,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 15

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 Arthur Cohen

Disclosed balance after: Not disclosed

Underlying: Common Stock · 8,141,660 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001062993-23-000243 · form4.xml · derivative · entry 14

HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner

HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner

Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner

Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner

Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jeffrey Lightcap IRA

Disclosed balance after: Not disclosed

Underlying: Common Stock · 7,000,000 shares

Expires 2023-12-31

F1 · security: On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.