FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
OMB APPROVAL |
OMB Number: | 3235-0287 |
Estimated average burden |
hours per response: | 0.5 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
55 HUDSON YARDS, 28TH FLOOR |
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(Street)
| 2. Issuer Name and Ticker or Trading Symbol
CareView Communications Inc
[ CRVW.OB ]
| 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X | Director | X | 10% Owner |
| Officer (give title below) |
| Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 12/31/19 |
4. If Amendment, Date of Original Filed
(Month/Day/Year)
| 6. Individual or Joint/Group Filing (Check Applicable Line)
| Form filed by One Reporting Person |
X | Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
| 2. Transaction Date
(Month/Day/Year) | 2A. Deemed Execution Date, if any
(Month/Day/Year) | 3. Transaction Code (Instr.
8)
| 4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
| 5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
| 6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
| 7. Nature of Indirect Beneficial Ownership (Instr.
4)
|
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
1. Title of Derivative Security (Instr.
3)
| 2. Conversion or Exercise Price of Derivative Security
| 3. Transaction Date
(Month/Day/Year) | 3A. Deemed Execution Date, if any
(Month/Day/Year) | 4. Transaction Code (Instr.
8)
| 5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
| 6. Date Exercisable and Expiration Date
(Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
| 8. Price of Derivative Security (Instr.
5)
| 9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
| 10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
| 11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Senior Secured Convertible Note due 2024 (PIK Interest) | $0.4 | 12/31/19 |
| A |
| $115,540 |
| | 1/15/24 | Common Stock | 288,851 | $0 | $4,737,149 | I | By HCP Fund |
Senior Secured Convertible Note due 2024 (PIK Interest) | $0.4 | 12/31/19 |
| A |
| $132,507 |
| | 1/15/24 | Common Stock | 331,267 | $0 | $5,432,772 | I | By Hybrid Fund |
Senior Secured Convertible Note due 2029 (PIK Interest) | $0.03 | 12/31/19 |
| A |
| $1,637 |
| | 5/14/29 | Common Stock | 54,559 | $0 | $54,013 | I | By Jeffrey Lightcap |
1. Name and Address of Reporting Person*
55 HUDSON YARDS, 28TH FLOOR |
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(Street)
|
1. Name and Address of Reporting Person*
1325 AVENUE OF AMERICAS, 28TH FLOOR |
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(Street)
|
1. Name and Address of Reporting Person*
1325 AVENUE OF AMERICAS, 28TH FLOOR |
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(Street)
|
1. Name and Address of Reporting Person*
12 SOUTH MAIN STREET |
SUITE #203 |
(Street)
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1. Name and Address of Reporting Person*
55 HUDSON YARDS, 28TH FLOOR |
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(Street)
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Explanation of Responses: |
Remarks: | |
| HealthCor Management, L.P., By: HealthCor Associates, LLC, its general partner, By: /s/ Anabelle P. Gray, General Counsel | 1/2/20 |
| HealthCor Partners GP, LLC, By: /s/ Anabelle P. Gray, General Counsel | 1/2/20 |
| /s/ Anabelle P. Gray as attorney-in-fact for Jeffrey C. Lightcap | 1/2/20 |
| /s/ Anabelle P. Gray as attorney-in-fact for Arthur Cohen | 1/2/20 |
| /s/ Anabelle P. Gray as attorney-in-fact for Joseph Healey | 1/2/20 |
| ** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
____________ Transaction Code: |
A | Grant, award or other acquisition pursuant to Rule 16b-3(d). |
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