Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CareView Communications IncCRVW.OB · Entity 7636 | Director · 10% owner | May 24, 2023 | May 26, 2023 |
| Heartflow, Inc.HTFL · Entity 3993 | Director | July 24, 2026 | July 28, 2026 |
| ReShape Weightloss Inc.RSLS · Entity 137993 | 10% owner | December 19, 2017 | June 05, 2018 |
| SURGALIGN HOLDINGS, INC.SRGA · Entity 109633 | Director | May 07, 2021 | July 02, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CareView Communications Inc
Report date May 24, 2023 · Filed May 26, 2023
Jointly reported with HealthCor Management, L.P., HealthCor Partners GP, LLC, Cohen Arthur Bruce, Healey Joseph Patrick
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy HCP Fund | 173,030,000 |
Reported balance
After 2023-05-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-24 · Conversion · Acquired 86,515,000 · Balance 173,030,000 F1: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Hybrid Fund | 186,970,000 |
Reported balance
After 2023-05-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-05-24 · Conversion · Acquired 93,485,000 · Balance 186,970,000 F2: 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. |
| Senior Secured Convertible Note due 2023SEC Table II · derivative / convertible security · Conversion / exercise price $0.10 · Expires 2023-12-31 | IndirectBy HCP Fund | Not disclosed |
Reported balance
After 2023-05-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-05-24 · Conversion · Disposed Not disclosed · Balance Not disclosed F1: 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. |
| Senior Secured Convertible Note due 2023SEC Table II · derivative / convertible security · Conversion / exercise price $0.10 · Expires 2023-12-31 | IndirectBy Hybrid Fund | Not disclosed |
Reported balance
After 2023-05-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-05-24 · Conversion · Disposed Not disclosed · Balance Not disclosed F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
Heartflow, Inc.
Report date July 24, 2026 · Filed July 28, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 293,681 |
Reported balance
After 2026-07-24 transaction · row 1
1 source rowRow 1 · 2026-07-24 · Exercise / conversion · Acquired 47,420 · Balance 293,681 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $19.00 · Expires 2035-08-07 | Direct | 0 |
Reported balance
After 2026-07-24 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-07-24 · Exercise / conversion · Disposed 47,420 · Balance 0 F2: These stock options are fully exercisable. |
| Common StockSEC Table I · non-derivative | IndirectBy HCPCIV 1, LLC | 4,615,542 |
Reported balance
Holding disclosure · report date 2026-07-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,615,542 |
| Common StockSEC Table I · non-derivative | IndirectBy HealthCor Partners Fund II, L.P. | 833,075 |
Reported balance
Holding disclosure · report date 2026-07-24 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 833,075 F1: Mr. Lightcap is a controlling member of each of 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. |
| Common StockSEC Table I · non-derivative | IndirectBy HealthCor Partners Fund, L.P. | 1,248,939 |
Reported balance
Holding disclosure · report date 2026-07-24 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,248,939 F1: Mr. Lightcap is a controlling member of each of 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Lightcap is a controlling member of each of 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.
F2: These stock options are fully exercisable.
ReShape Weightloss Inc.
Report date December 19, 2017 · Filed June 05, 2018
Jointly reported with HealthCor Partners Fund II, L.P., HealthCor Partners Management LP, HealthCor Partners Management GP, LLC, HealthCor Partners II, L.P., HealthCor Partners GP, LLC, Cohen Arthur Bruce, Healey Joseph Patrick
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 174,472 |
Reported balance
After 2017-12-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-12-19 · Conversion · Acquired 136,580 · Balance 174,472 F1: Share amounts and ratios reflect the 15-for-1 reverse stock split effected June 4, 2018. F2: Automatic conversion of 20,487 shares of Series C Preferred Stock into shares of Common Stock at a conversion ratio of 1:6.6667. F3: HealthCor Partners Fund II, L.P. ("HCPII Fund") is the direct beneficial owner of the securities reported herein. The shares held by HCPII Fund may be deemed to be beneficially owned by HealthCor Partners II, L.P. ("HCP2LP"), its general partner, and by HealthCor Partners GP, LLC ("HCPGP"), the general partner of HCP2LP. HealthCor Partners Management, L.P. ("HPMLP") serves as the investment manager to HCPII Fund, and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner of HPMLP. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each reporting person disclaims beneficial ownership of shares held by HCPII Fund except to the extent of any pecuniary interest therein. |
| Series C Convertible Preferred Stock, par value $0.01SEC Table II · derivative / convertible security | Direct | 26,200 |
Reported balance
After 2017-12-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-12-19 · Conversion · Disposed 20,487 · Balance 26,200 F2: Automatic conversion of 20,487 shares of Series C Preferred Stock into shares of Common Stock at a conversion ratio of 1:6.6667. F5: Issued as merger consideration. F4: N/A F3: HealthCor Partners Fund II, L.P. ("HCPII Fund") is the direct beneficial owner of the securities reported herein. The shares held by HCPII Fund may be deemed to be beneficially owned by HealthCor Partners II, L.P. ("HCP2LP"), its general partner, and by HealthCor Partners GP, LLC ("HCPGP"), the general partner of HCP2LP. HealthCor Partners Management, L.P. ("HPMLP") serves as the investment manager to HCPII Fund, and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner of HPMLP. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each reporting person disclaims beneficial ownership of shares held by HCPII Fund except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Share amounts and ratios reflect the 15-for-1 reverse stock split effected June 4, 2018.
F2: Automatic conversion of 20,487 shares of Series C Preferred Stock into shares of Common Stock at a conversion ratio of 1:6.6667.
F3: HealthCor Partners Fund II, L.P. ("HCPII Fund") is the direct beneficial owner of the securities reported herein. The shares held by HCPII Fund may be deemed to be beneficially owned by HealthCor Partners II, L.P. ("HCP2LP"), its general partner, and by HealthCor Partners GP, LLC ("HCPGP"), the general partner of HCP2LP. HealthCor Partners Management, L.P. ("HPMLP") serves as the investment manager to HCPII Fund, and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner of HPMLP. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each reporting person disclaims beneficial ownership of shares held by HCPII Fund except to the extent of any pecuniary interest therein.
F4: N/A
F5: Issued as merger consideration.
SURGALIGN HOLDINGS, INC.
Report date May 07, 2021 · Filed July 02, 2021 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 449,649 |
Reported balance
After 2021-05-07 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2021-05-07 · Grant · Acquired 72,254 · Balance 449,649 F1: The Form 4 filed on 5/10/2021 representing restricted stock units of Surgalign Holdings, Inc. (the "Company") granted as part of the director compensation program of the Company, all of which will vest on the first anniversary of the date of grant erroneously reported 57,803 RSUs in column four. The purpose of this amendment is to correct the total underlying shares in columns four and five. |
Filing footnotes · ownership attribution and instrument terms
F1: The Form 4 filed on 5/10/2021 representing restricted stock units of Surgalign Holdings, Inc. (the "Company") granted as part of the director compensation program of the Company, all of which will vest on the first anniversary of the date of grant erroneously reported 57,803 RSUs in column four. The purpose of this amendment is to correct the total underlying shares in columns four and five.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Corindus Vascular Robotics, Inc.
Report date October 29, 2019 · Filed October 31, 2019
Section 16 reporting ended · disclosed 2019-10-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-10-29 · Other · Disposed 32,500,478 · Balance 0 F1: Disposed of pursuant to merger agreement by and among Issuer, Siemens Medical Solutions USA, Inc. and Corpus Merger, Inc., for a cash payment of the per share price noted. F2: Consists of 17,090,941 shares held directly by HealthCor Partners Fund, L.P. ("HCP") and 15,409,537 shres held directly by HealthCor Partners Fund II, L.P. ("HCPII"). The shares held by HCP may be deemed to be beneficially owned by HealthCor Partners, L.P. ("HCPLP"), its general partner, and by HealthCor Partners GP, LLC ("HCPGP"), the general partner of HCPLP. The shares held by HCPII may be deemed to be beneficially owned by HealthCor Partners II, L.P. ("HCP2LP"), its general partner, and by HCPGP, the general partner of of HCP2LP. Mr. Lightlcap is a managing member of HCPGP and may be deemed to have shared voting and investment power over such shares. Each of HCPLP, HCP2LP, HCPGP, and Mr. Lightcap hereby disclaims any beneficial ownership of shares held by HCP or HCPII except to the extent of any pecuniary interest therein. The record and other beneficial owners have separately filed a Form 4 to reflect the disposition in the merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to merger agreement by and among Issuer, Siemens Medical Solutions USA, Inc. and Corpus Merger, Inc., for a cash payment of the per share price noted.
F2: Consists of 17,090,941 shares held directly by HealthCor Partners Fund, L.P. ("HCP") and 15,409,537 shres held directly by HealthCor Partners Fund II, L.P. ("HCPII"). The shares held by HCP may be deemed to be beneficially owned by HealthCor Partners, L.P. ("HCPLP"), its general partner, and by HealthCor Partners GP, LLC ("HCPGP"), the general partner of HCPLP. The shares held by HCPII may be deemed to be beneficially owned by HealthCor Partners II, L.P. ("HCP2LP"), its general partner, and by HCPGP, the general partner of of HCP2LP. Mr. Lightlcap is a managing member of HCPGP and may be deemed to have shared voting and investment power over such shares. Each of HCPLP, HCP2LP, HCPGP, and Mr. Lightcap hereby disclaims any beneficial ownership of shares held by HCP or HCPII except to the extent of any pecuniary interest therein. The record and other beneficial owners have separately filed a Form 4 to reflect the disposition in the merger.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $650,000.00 |
DisclosureSEC source: 0001062993-23-000243 · form4.xml · derivative · entry 13 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 6,500,000 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $18,697,000.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By Hybrid Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 186,970,000 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. F5 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2023 · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $17,303,000.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 173,030,000 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. F4 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2030 · Derivative | Not disclosed | Not disclosed Strike: $0.01 | $126,377.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 12,633,454 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, 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2029 · Derivative | Not disclosed | Not disclosed Strike: $0.03 | $69,089.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 2,302,971 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, 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2028 · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $382,980.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 7,659,596 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, 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2028 · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $401,601.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 8,032,014 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, 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,335,446.00 |
DisclosureSEC source: 0001062993-23-000243 · form4.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 Joseph Healey Disclosed balance after: Not disclosed Underlying: Common Stock · 2,568,166 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, 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,812,125.00 |
DisclosureSEC source: 0001062993-23-000243 · form4.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 Arthur Cohen Disclosed balance after: Not disclosed Underlying: Common Stock · 3,484,856 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, 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,558,021.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap IRA Disclosed balance after: Not disclosed 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, 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. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2025 · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $2,225,745.00 |
DisclosureSEC source: 0001062993-23-000243 · 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: Not disclosed Ownership: Indirect · By HCP Fund Disclosed balance after: Not disclosed Underlying: Common Stock · 4,280,277 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, 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. F4 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2024 · Derivative | Not disclosed | Not disclosed Strike: $0.40 | $6,619,305.00 |
DisclosureSEC source: 0001062993-23-000243 · form4.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 · 16,548,263 shares Expires 2024-01-15 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. F5 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 30, 2022 Filed Jan 4, 2023 21:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | Disposition to issuerSenior Secured Convertible Note due 2024 · Derivative | Not disclosed | Not disclosed Strike: $0.40 | $5,771,757.00 |
DisclosureSEC source: 0001062993-23-000243 · form4.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 · 14,429,391 shares Expires 2024-01-15 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. F4 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 30, 2022 Filed Feb 1, 2023 02:18 UTC Amendment | CareView Communications Inc CRVW · Entity 7636 | GrantSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.10 | $1,350,000.00 |
DisclosureSEC source: 0001387131-23-001148 · 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 · 13,500,000 shares Expires 2023-12-31 F1 · security: On December 30, 2022, the reporting person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him 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. Read SEC document |
| December 30, 2022 Filed Feb 1, 2023 02:18 UTC Amendment | CareView Communications Inc CRVW · Entity 7636 | Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.01 | $126,377.00 |
DisclosureSEC source: 0001387131-23-001148 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him 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. Read SEC document |
| December 30, 2022 Filed Feb 1, 2023 02:18 UTC Amendment | CareView Communications Inc CRVW · Entity 7636 | Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.03 | $69,089.00 |
DisclosureSEC source: 0001387131-23-001148 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him 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. Read SEC document |
| December 30, 2022 Filed Feb 1, 2023 02:18 UTC Amendment | CareView Communications Inc CRVW · Entity 7636 | Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $382,980.00 |
DisclosureSEC source: 0001387131-23-001148 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him 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. Read SEC document |
| December 30, 2022 Filed Feb 1, 2023 02:18 UTC Amendment | CareView Communications Inc CRVW · Entity 7636 | Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.05 | $401,601.00 |
DisclosureSEC source: 0001387131-23-001148 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him 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. Read SEC document |
| December 30, 2022 Filed Feb 1, 2023 02:18 UTC Amendment | CareView Communications Inc CRVW · Entity 7636 | Disposition to issuerSecured Convertible Note · Derivative | Not disclosed | Not disclosed Strike: $0.52 | $1,558,021.00 |
DisclosureSEC source: 0001387131-23-001148 · 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 person 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 a replacement note in the indicated aggregate principal amount with a conversion price of $0.10 per share. At the time, the reporting person surrendered for cancellation all outstanding warrants held by him 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. Read SEC document |
| November 14, 2022 Filed Nov 22, 2022 01:19 UTC | CareView Communications Inc CRVN · Entity 7636 | PurchaseCommon Stock | 500,000 | $0.10 | $50,000.00 |
DisclosureSEC source: 0001387131-22-011647 · ownership.xml · nonDerivative · entry 1 Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Read SEC document |
| June 30, 2022 Filed Jul 1, 2022 18:45 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $4,071.00 |
DisclosureSEC source: 0001062993-22-015722 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 407,133 shares Expires 2030-02-05 F1 · security: On June 30, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2022 Filed Jul 1, 2022 18:45 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $2,227.00 |
DisclosureSEC source: 0001062993-22-015722 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 74,217 shares Expires 2029-05-14 F1 · security: On June 30, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2022 Filed Jul 1, 2022 18:45 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $169,620.00 |
DisclosureSEC source: 0001062993-22-015722 · form4.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 · 424,049 shares Expires 2024-01-15 F1 · security: On June 30, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| June 30, 2022 Filed Jul 1, 2022 18:45 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $147,901.00 |
DisclosureSEC source: 0001062993-22-015722 · form4.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 · 369,753 shares Expires 2024-01-15 F1 · security: On June 30, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 20:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,948.00 |
DisclosureSEC source: 0001062993-22-009389 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 394,795 shares Expires 2030-02-05 F1 · security: On March 31, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 20:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $2,159.00 |
DisclosureSEC source: 0001062993-22-009389 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 71,968 shares Expires 2029-05-14 F1 · security: On March 31, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 20:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $165,482.00 |
DisclosureSEC source: 0001062993-22-009389 · form4.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 · 413,707 shares Expires 2024-01-15 F1 · security: On March 31, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 20:04 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $144,294.00 |
DisclosureSEC source: 0001062993-22-009389 · form4.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 · 360,735 shares Expires 2024-01-15 F1 · security: On March 31, 2022, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| March 08, 2022 Filed Mar 10, 2022 21:07 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantCommon Stock Warrants (Right to Buy) · Derivative | 1,602,600 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001062993-22-007311 · form4.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: 1,602,600 Underlying: Common Stock · 1,602,600 shares Expires 2032-03-08 F1 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| March 08, 2022 Filed Mar 10, 2022 21:07 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantCommon Stock Warrants (Right to Buy) · Derivative | 1,397,400 | $0.00 Strike: $0.09 | $0.00 |
DisclosureSEC source: 0001062993-22-007311 · form4.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: 1,397,400 Underlying: Common Stock · 1,397,400 shares Expires 2032-03-08 F1 · derivative.exercise_date: Immediately exercisable. F2 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 21:21 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,828.00 |
DisclosureSEC source: 0001062993-22-000240 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 382,832 shares Expires 2030-02-05 F1 · security: On December 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 21:21 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $2,094.00 |
DisclosureSEC source: 0001062993-22-000240 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 69,787 shares Expires 2029-05-14 F1 · security: On December 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 21:21 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $161,446.00 |
DisclosureSEC source: 0001062993-22-000240 · form4.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 · 403,616 shares Expires 2024-01-15 F1 · security: On December 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 21:21 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $140,775.00 |
DisclosureSEC source: 0001062993-22-000240 · form4.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 · 351,936 shares Expires 2024-01-15 F1 · security: On December 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| September 30, 2021 Filed Oct 4, 2021 20:03 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,712.00 |
DisclosureSEC source: 0001062993-21-009179 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 371,231 shares Expires 2030-02-05 F1 · security: On September 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| September 30, 2021 Filed Oct 4, 2021 20:03 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $2,030.00 |
DisclosureSEC source: 0001062993-21-009179 · 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: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 67,672 shares Expires 2029-05-14 F1 · security: On September 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| September 30, 2021 Filed Oct 4, 2021 20:03 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $157,509.00 |
DisclosureSEC source: 0001062993-21-009179 · form4.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 · 393,772 shares Expires 2024-01-15 F1 · security: On September 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| September 30, 2021 Filed Oct 4, 2021 20:03 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $137,341.00 |
DisclosureSEC source: 0001062993-21-009179 · form4.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 · 343,353 shares Expires 2024-01-15 F1 · security: On September 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 20:07 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,600.00 |
DisclosureSEC source: 0000908662-21-000108 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 359,982 shares Expires 2030-02-05 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 20:07 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,969.00 |
DisclosureSEC source: 0000908662-21-000108 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 65,622 shares Expires 2029-05-14 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 20:07 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $153,667.00 |
DisclosureSEC source: 0000908662-21-000108 · 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 · 384,168 shares Expires 2024-01-15 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 20:07 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $133,991.00 |
DisclosureSEC source: 0000908662-21-000108 · 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 · 334,978 shares Expires 2024-01-15 F1 · security: On June 30, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| May 07, 2021 Filed May 10, 2021 21:04 UTC | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | GrantCommon Stock | 57,803 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-031293 · doc4.xml · nonDerivative · entry 1 Lightcap Jeffrey C · CIK 0001519465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 435,198 F1 · shares: Represents restricted stock units of Surgalign Holdings, Inc. (the "Company") granted as part of the director compensation program of the Company, all of which will vest on the first anniversary of the date of grant. Read SEC document |
| May 07, 2021 Filed Jul 2, 2021 20:24 UTC Amendment | SURGALIGN HOLDINGS, INC. SRGA · Entity 109633 | GrantCommon Stock | 72,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044963 · doc4a.xml · nonDerivative · entry 1 Lightcap Jeffrey C · CIK 0001519465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 449,649 F1 · shares: The Form 4 filed on 5/10/2021 representing restricted stock units of Surgalign Holdings, Inc. (the "Company") granted as part of the director compensation program of the Company, all of which will vest on the first anniversary of the date of grant erroneously reported 57,803 RSUs in column four. The purpose of this amendment is to correct the total underlying shares in columns four and five. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 20:17 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantCommon Stock Warrants (Right to Buy) · Derivative | 1,068,400 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0000908662-21-000073 · 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: 1,068,400 Underlying: Common Stock · 1,068,400 shares Expires 2031-04-20 F1 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 20:17 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantCommon Stock Warrants (Right to Buy) · Derivative | 931,600 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0000908662-21-000073 · 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: 931,600 Underlying: Common Stock · 931,600 shares Expires 2031-04-20 F1 · derivative.exercise_date: Immediately exercisable. F2 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 20:09 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2030 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.01 | $3,491.00 |
DisclosureSEC source: 0000908662-21-000065 · edgar.xml · derivative · entry 4 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 349,073 shares Expires 2030-02-05 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 20:09 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2029 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.03 | $1,909.00 |
DisclosureSEC source: 0000908662-21-000065 · edgar.xml · derivative · entry 3 HealthCor Management, L.P. · CIK 0001343781 · Director · 10% owner HealthCor Partners GP, LLC · CIK 0001519460 · Director · 10% owner Lightcap Jeffrey C · CIK 0001519465 · Director · 10% owner Cohen Arthur Bruce · CIK 0001343780 · Director · 10% owner Healey Joseph Patrick · CIK 0001343779 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Jeffrey Lightcap Disclosed balance after: Not disclosed Underlying: Common Stock · 63,633 shares Expires 2029-05-14 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 20:09 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $149,919.00 |
DisclosureSEC source: 0000908662-21-000065 · 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 · 374,798 shares Expires 2024-01-15 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F4 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 20:09 UTC | CareView Communications Inc CRVW.OB · Entity 7636 | GrantSenior Secured Convertible Note due 2024 (PIK Interest) · Derivative | Not disclosed | $0.00 Strike: $0.40 | $130,723.00 |
DisclosureSEC source: 0000908662-21-000065 · 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 · 326,808 shares Expires 2024-01-15 F1 · security: On March 31, 2021, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note and 2020 Note each held by Mr. Lightcap accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, February 23, 2018, and July 13, 2018, reporting of which is exempt pursuant to Rule 16a-9. F2 · derivative.exercise_date: Immediately exercisable. F3 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.