HealthCor Partners Fund LP

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 11

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 96,068 shares

Expires not disclosed

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

F7 · shares: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II herein on an as-converted basis.

F7 · price: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II herein on an as-converted basis.

F7 · derivative.exercise_date: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II herein on an as-converted basis.

F7 · derivative.expiration_date: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II herein on an as-converted basis.

F8 · ownership.nature: HCPCIV 1, LLC ("HCPCIV") is a private investment limited liability company which is the direct beneficial owner of the securities reported herein. The shares held by HCPCIV may be determined to be beneficially owned by HCP2LP, its managing member, and by HCPGP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPCOV except to the extent of any pecuniary interest therein.

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 10

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 452,528 shares

Expires not disclosed

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

F6 · derivative.exercise_price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · shares: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · derivative.exercise_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · derivative.expiration_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F8 · ownership.nature: HCPCIV 1, LLC ("HCPCIV") is a private investment limited liability company which is the direct beneficial owner of the securities reported herein. The shares held by HCPCIV may be determined to be beneficially owned by HCP2LP, its managing member, and by HCPGP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPCOV except to the extent of any pecuniary interest therein.

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 9

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,337,337 shares

Expires not disclosed

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

F6 · derivative.exercise_price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · shares: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · derivative.exercise_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · derivative.expiration_date: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F8 · ownership.nature: HCPCIV 1, LLC ("HCPCIV") is a private investment limited liability company which is the direct beneficial owner of the securities reported herein. The shares held by HCPCIV may be determined to be beneficially owned by HCP2LP, its managing member, and by HCPGP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPCOV except to the extent of any pecuniary interest therein.

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 8

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,099,378 shares

Expires not disclosed

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

F5 · derivative.exercise_price: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F5 · shares: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F5 · price: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F5 · derivative.exercise_date: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F5 · derivative.expiration_date: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F8 · ownership.nature: HCPCIV 1, LLC ("HCPCIV") is a private investment limited liability company which is the direct beneficial owner of the securities reported herein. The shares held by HCPCIV may be determined to be beneficially owned by HCP2LP, its managing member, and by HCPGP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPCOV except to the extent of any pecuniary interest therein.

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 7

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

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

Disclosed balance after: 0

Underlying: Common Stock · 208,604 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · shares: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · derivative.exercise_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · derivative.expiration_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F4 · ownership.nature: HealthCor Partners Fund II, L.P. ("HCPII Fund") is a private investment partnership which 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 HCPGP, the general partner of HCP2LP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPII Fund except to the extent of any pecuniary interest therein

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 6

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,630,231 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · shares: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · derivative.exercise_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F3 · derivative.expiration_date: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F8 · ownership.nature: HCPCIV 1, LLC ("HCPCIV") is a private investment limited liability company which is the direct beneficial owner of the securities reported herein. The shares held by HCPCIV may be determined to be beneficially owned by HCP2LP, its managing member, and by HCPGP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPCOV except to the extent of any pecuniary interest therein.

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 5

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

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

Disclosed balance after: 0

Underlying: Common Stock · 624,471 shares

Expires not disclosed

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

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

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

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

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

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

F4 · ownership.nature: HealthCor Partners Fund II, L.P. ("HCPII Fund") is a private investment partnership which 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 HCPGP, the general partner of HCP2LP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPII Fund except to the extent of any pecuniary interest therein

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · derivative · entry 4

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

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

Disclosed balance after: 0

Underlying: Common Stock · 1,248,939 shares

Expires not disclosed

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

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

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

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

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

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

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. The shares held by HCP Fund 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. Each of HCPLP and HCPGP hereby disclaims any beneficial ownership of shares held by HCP Fund except to the extent of any pecuniary interest therein

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · nonDerivative · entry 3

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCPCIV 1, LLC

Disclosed balance after: 4,615,542

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

F3 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F5 · price: Each share of Series E preferred stock automatically converted into approximately 0.6951 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F6 · price: Each share of Series F preferred stock and Series F-1 preferred stock automatically converted into approximately 0.3425 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F7 · price: Upon the closing of Heartflow's initial public offering, the convertible promissory notes automatically converted into shares of Heartflow's common stock at a conversion price of 80% of the price per share in Heartflow's initial public offering, subject to a valuation ceiling of $2.0 billion. The shares of common stock that were issuable upon conversion of the convertible promissory note had no expiration date. These shares are reported in Table II herein on an as-converted basis.

F8 · ownership.nature: HCPCIV 1, LLC ("HCPCIV") is a private investment limited liability company which is the direct beneficial owner of the securities reported herein. The shares held by HCPCIV may be determined to be beneficially owned by HCP2LP, its managing member, and by HCPGP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPCOV except to the extent of any pecuniary interest therein.

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · nonDerivative · entry 2

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

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

Disclosed balance after: 833,075

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

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

F3 · price: Each share of Series D preferred stock automatically converted into approximately 0.6467 shares of Heartflow's common stock immediately prior to the closing of Heartflow's initial public offering. These shares are reported on Table II herein on an as-converted basis.

F4 · ownership.nature: HealthCor Partners Fund II, L.P. ("HCPII Fund") is a private investment partnership which 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 HCPGP, the general partner of HCP2LP. Each of HCP2LP and HCPGP hereby disclaims any beneficial ownership of shares held by HCPII Fund except to the extent of any pecuniary interest therein

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-25-014851 · form4.xml · nonDerivative · entry 1

HealthCor Partners Management LP · CIK 0001519462 · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · 10% owner

HealthCor Partners LP · CIK 0001519456 · 10% owner

HealthCor Partners Fund II, L.P. · CIK 0001538581 · 10% owner

HealthCor Partners II, L.P. · CIK 0001643094 · 10% owner

HCPCIV 1, LLC · CIK 0002083103 · 10% owner

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

10b5-1 filing: No plan indicated

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

Disclosed balance after: 1,248,939

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

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

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. The shares held by HCP Fund 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. Each of HCPLP and HCPGP hereby disclaims any beneficial ownership of shares held by HCP Fund except to the extent of any pecuniary interest therein

F9 · ownership.nature: HealthCor Partners Management, L.P. is the investment manager for each of HCP Fund, HCPH Fund, and HCPCIV and has voting and investment discretion with respect to such entities' securities reported herein. HealthCor Partners Management, L.P. hereby disclaims any beneficial ownership of shares held by HCP Fund, HCPH Fund, and HCPCIV except to the extent of any pecuiary interest therein.

SEC source: 0001062993-23-012295 · form4.xml · derivative · entry 4

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 93,485,000 shares

Expires 2023-12-31

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

F2 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities.

SEC source: 0001062993-23-012295 · form4.xml · derivative · entry 3

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 86,515,000 shares

Expires 2023-12-31

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

F1 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment.

SEC source: 0001062993-23-012295 · form4.xml · nonDerivative · entry 2

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: 186,970,000

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

F2 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities.

SEC source: 0001062993-23-012295 · form4.xml · nonDerivative · entry 1

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: 173,030,000

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

F1 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment.

SEC source: 0001062993-23-008384 · form4.xml · derivative · entry 12

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Joseph Healey

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,000,000 shares

Expires 2023-12-31

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

SEC source: 0001062993-23-008384 · form4.xml · derivative · entry 11

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Arthur Cohen

Disclosed balance after: Not disclosed

Underlying: Common Stock · 8,141,660 shares

Expires 2023-12-31

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

SEC source: 0001062993-23-008384 · form4.xml · derivative · entry 10

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap IRA

Disclosed balance after: Not disclosed

Underlying: Common Stock · 7,000,000 shares

Expires 2023-12-31

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

SEC source: 0001062993-23-008384 · form4.xml · derivative · entry 9

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,500,000 shares

Expires 2023-12-31

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

SEC source: 0001062993-23-008384 · form4.xml · derivative · entry 8

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 93,485,000 shares

Expires 2023-12-31

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

F2 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities.

SEC source: 0001062993-23-008384 · form4.xml · derivative · entry 7

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: Not disclosed

Underlying: Common Stock · 86,515,000 shares

Expires 2023-12-31

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

F1 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment.

SEC source: 0001062993-23-008384 · form4.xml · nonDerivative · entry 6

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Joseph Healey

Disclosed balance after: 6,000,000

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

SEC source: 0001062993-23-008384 · form4.xml · nonDerivative · entry 5

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Arthur Cohen

Disclosed balance after: 8,141,660

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

SEC source: 0001062993-23-008384 · form4.xml · nonDerivative · entry 4

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap IRA

Disclosed balance after: 7,000,000

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

SEC source: 0001062993-23-008384 · form4.xml · nonDerivative · entry 3

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jeffrey Lightcap

Disclosed balance after: 6,500,000

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

SEC source: 0001062993-23-008384 · form4.xml · nonDerivative · entry 2

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hybrid Fund

Disclosed balance after: 93,485,000

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

F2 · ownership.nature: HealthCor Hybrid Offshore Master Fund, L.P. ("Hybrid Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Hybrid Offshore GP, LLC ("Offshore GP") serves as its general partner and HealthCor Group, LLC ("Group") serves as the general partner of Offshore GP. HealthCor Management, L.P. serves as the investment manager to Hybrid Fund and HealthCor Associates, LLC ("Associates") serves as the general partner to HealthCor Management, L.P. Arthur Cohen and Joseph Healey are managing members of Associates and Group. Each reporting person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities.

SEC source: 0001062993-23-008384 · form4.xml · nonDerivative · entry 1

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By HCP Fund

Disclosed balance after: 86,515,000

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

F1 · ownership.nature: HealthCor Partners Fund, L.P. ("HCP Fund") is a private investment partnership which is the direct beneficial owner of the securities reported herein. HealthCor Partners L.P. serves as its general partner and HealthCor Partners GP, LLC ("HCPGP") serves as the general partner of HealthCor Partners L.P. HealthCor Partners Management, L.P. serves as the investment manager to HCP Fund and HealthCor Partners Management GP, LLC ("HCPMGP") serves as the general partner to HealthCor Partners Management, L.P. Jeffrey C. Lightcap, Arthur Cohen and Joseph Healey are managing members of HCPMGP and HCPGP. Each person disclaims beneficial ownership of any securities that exceed their pecuniary interest in the securities held by these entities. Mr. Lightcap was appointed a director of the issuer in connection with the initial investment.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 16

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Joseph Healey

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,000,000 shares

Expires 2023-12-31

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

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 15

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Arthur Cohen

Disclosed balance after: Not disclosed

Underlying: Common Stock · 8,141,660 shares

Expires 2023-12-31

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

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 14

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jeffrey Lightcap IRA

Disclosed balance after: Not disclosed

Underlying: Common Stock · 7,000,000 shares

Expires 2023-12-31

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

F3 · price: See footnote (1).

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 13

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 12

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 11

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 10

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 9

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 8

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 7

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 6

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 5

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 4

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 3

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 2

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-23-000239 · form4.xml · derivative · entry 1

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-22-015721 · form4.xml · derivative · entry 4

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-22-015721 · form4.xml · derivative · entry 3

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-22-015721 · form4.xml · derivative · entry 2

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-22-015721 · form4.xml · derivative · entry 1

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-22-009388 · form4.xml · derivative · entry 4

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-22-009388 · form4.xml · derivative · entry 3

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.

SEC source: 0001062993-22-009388 · form4.xml · derivative · entry 2

HealthCor Associates, LLC · CIK 0001409305 · Director · 10% owner

HealthCor Group, LLC · CIK 0001409307 · Director · 10% owner

HealthCor Hybrid Offshore GP, LLC · CIK 0001454849 · Director · 10% owner

HealthCor Hybrid Offshore Master Fund, L.P. · CIK 0001454850 · Director · 10% owner

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

HealthCor Partners Fund LP · CIK 0001408660 · Director · 10% owner

HealthCor Partners LP · CIK 0001519456 · Director · 10% owner

HealthCor Partners Management GP, LLC · CIK 0001519463 · Director · 10% owner

HealthCor Partners Management LP · CIK 0001519462 · 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.