SEC Form 4 · accession 0000908662-15-000068
CareView Communications Inc · CRVW.OB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Joseph Patrick Healey
Director · 10% Owner
Arthur Bruce Cohen
Director · 10% Owner
HealthCor Partners Fund LP
Director · 10% Owner
HealthCor Partners LP
Director · 10% Owner
HealthCor Partners GP, LLC
Director · 10% Owner
HealthCor Partners Management LP
Director · 10% Owner
HealthCor Partners Management GP, LLC
Director · 10% Owner
Jeffrey C Lightcap
Director · 10% Owner
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 6:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001377149
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Senior Secured Convertible Note due 2025F3,F1 | $0.52 | Feb 17, 2015 | A | — | A | — | Feb 16, 2025 | Common Stock | 1,923,076 | — | I |
| Senior Secured Convertible Note due 2025F4,F1 | $0.52 | Feb 17, 2015 | A | — | A | — | Feb 16, 2025 | Common Stock | 1,346,153 | — | I |
| Senior Secured Convertible Note due 2025F5,F1 | $0.52 | Feb 17, 2015 | A | — | A | — | Feb 16, 2025 | Common Stock | 1,153,846 | — | I |
| Senior Secured Convertible Note due 2025F6,F1 | $0.52 | Feb 17, 2015 | A | — | A | — | Feb 16, 2025 | Common Stock | 1,565,703 | — | I |
| Common Stock Warrants (Right to Buy)F2,F3,F1 | $0.52 | Feb 17, 2015 | A | 615,384 | A | — | Feb 17, 2025 | Common Stock | 615,384 | 615,384 | I |
| Common Stock Warrants (Right to Buy)F2,F4,F1 | $0.52 | Feb 17, 2015 | A | 430,769 | A | — | Feb 17, 2025 | Common Stock | 430,769 | 430,769 | I |
| Common Stock Warrants (Right to Buy)F2,F5,F1 | $0.52 | Feb 17, 2015 | A | 369,231 | A | — | Feb 17, 2025 | Common Stock | 369,231 | 369,231 | I |
| Common Stock Warrants (Right to Buy)F2,F6,F1 | $0.52 | Feb 17, 2015 | A | 501,025 | A | — | Feb 17, 2025 | Common Stock | 501,025 | 501,025 | I |
Explanation of responses
- F1Immediately exercisable
- F2Issued in connection with the purchase of the convertible notes for no additional consideration.
- F3HealthCor 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 reporting 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 HCP Fund's initial investment.
- F4Mr. Lightcap is the indirect beneficial owner of the securities reported herein. No other reporting person has a pecuniary interest in these securities.
- F5Mr. Healey is the direct beneficial owner of the securities reported herein. No other reporting person has a pecuniary interest in these securities.
- F6Mr. Cohen is the direct beneficial owner of the securities reported herein. No other reporting person has a pecuniary interest in these securities.