Home/Filings/4/0000908662-16-000567

4//SEC Filing

HealthCor Partners LP 4

Accession 0000908662-16-000567

CIK 0001377149other

View on SEC.gov Company Profile

Filed

Jun 30, 8:00 PM ET

Accepted

Jul 1, 3:06 PM ET

Size

33.7 KB

Accession

0000908662-16-000567

Insider Transaction Report

Form 4

Period: 2016-06-30

CareView Communications IncCRVW.OB

HealthCor Partners Management GP, LLC

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)

HealthCor Partners Fund LP

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)

HealthCor Partners LP

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)

HealthCor Management, L.P.

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)

HealthCor Associates, LLC

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)

HealthCor Hybrid Offshore Master Fund, L.P.

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)

HealthCor Hybrid Offshore GP, LLC

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)

HealthCor Group, LLC

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)

HealthCor Partners Management LP

Director10% Owner

Transactions

Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (417,471 underlying)
Award
Senior Secured Convertible Note due 2021 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2021-04-20→ Common Stock (364,017 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (111,505 underlying)
Award
Senior Secured Convertible Note due 2022 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $1.25Exp: 2022-01-30→ Common Stock (97,228 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By Hybrid Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (273,775 underlying)
Award
Senior Secured Convertible Note due 2024 (PIK Interest)
2016-06-30(indirect: By HCP Fund)
Exercise: $0.40Exp: 2024-01-15→ Common Stock (238,720 underlying)

Footnotes (4)

[F1]On June 30, 2016 the Notes held by HCP Fund and Hybrid Fund accrued interest which is payable in kind ("PIK Interest") in the form of additional principal. The PIK Interest accrual reported herein represents the equivalent of 699,965 shares of Common Stock for HCP Fund (as defined below) and 802,751 shares of Common Stock for Hybrid Fund (as defined below) at the applicable conversion prices. Excludes PIK interest on notes issued to certain reporting persons and other investors on February 17, 2015, reporting of which is exempt pursuant to Rule 16a-9.
[F2]Immediately exercisable.
[F3]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.
[F4]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.

Documents

2 files

Issuer

CareView Communications Inc

CIK 0001377149

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001519456

Filing Metadata

Form type: 4
Filed: Jun 30, 8:00 PM ET
Accepted: Jul 1, 3:06 PM ET
Size: 33.7 KB

View on SEC.gov