SEC Info - HealthCor Management, L.P., et al. - ‘4’ for 12/31/19 re: CareView Communications Inc.

Ownership Document

Schema Version: X0306

Document Type: 4

Period of Report: 12/31/19

Issuer:

Issuer CIK: 1377149

Issuer Name: CareView Communications Inc

Issuer Trading Symbol: CRVW.OB

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1343781

Owner Name: HealthCor Management, L.P.

Reporting Owner Address:

Owner Street 1: 55 HUDSON YARDS, 28TH FLOOR

Owner Street 2:

Owner City: NEW YORK

Owner State: NY

Owner ZIP Code: 10001

Owner State Description:

Reporting Owner Relationship:

Is Director? Yes

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Officer Title:

Other Text:

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1519460

Owner Name: HealthCor Partners GP, LLC

Reporting Owner Address:

Owner Street 1: 1325 AVENUE OF AMERICAS, 28TH FLOOR

Owner Street 2:

Owner City: NEW YORK

Owner State: NY

Owner ZIP Code: 10019

Owner State Description:

Reporting Owner Relationship:

Is Director? Yes

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Officer Title:

Other Text:

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1519465

Owner Name: Lightcap Jeffrey C

Reporting Owner Address:

Owner Street 1: 1325 AVENUE OF AMERICAS, 28TH FLOOR

Owner Street 2:

Owner City: NEW YORK

Owner State: NY

Owner ZIP Code: 10019

Owner State Description:

Reporting Owner Relationship:

Is Director? Yes

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Officer Title:

Other Text:

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1343780

Owner Name: Cohen Arthur Bruce

Reporting Owner Address:

Owner Street 1: 12 SOUTH MAIN STREET

Owner Street 2: SUITE #203

Owner City: NORWALK

Owner State: CT

Owner ZIP Code: 06854

Owner State Description:

Reporting Owner Relationship:

Is Director? Yes

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Officer Title:

Other Text:

Reporting Owner:

Reporting Owner ID:

Owner CIK: 1343779

Owner Name: Healey Joseph Patrick

Reporting Owner Address:

Owner Street 1: 55 HUDSON YARDS, 28TH FLOOR

Owner Street 2:

Owner City: NEW YORK

Owner State: NY

Owner ZIP Code: 10001

Owner State Description:

Reporting Owner Relationship:

Is Director? Yes

Is Officer? No

Is Ten Percent Owner? Yes

Is Other? No

Officer Title:

Other Text:

Non-Derivative Table:

Derivative Table:

Derivative Transaction:

Security Title:

Value: Senior Secured Convertible Note due 2024 (PIK Interest)

Footnote ID: F1

Conversion or Exercise Price:

Value: 0.40

Transaction Date:

Value: 12/31/19

Transaction Coding:

Transaction Form Type: 4

Transaction Code: A

Equity Swap Involved? No

Transaction Amounts:

Transaction Total Value:

Value: 115,540

Transaction Price Per Share:

Value: 0

Transaction Acquired-Disposed Code:

Value: A

Exercise Date:

Footnote ID: F2

Expiration Date:

Value: 1/15/24

Underlying Security:

Underlying Security Title:

Value: Common Stock

Underlying Security Shares:

Value: 288,851

Post-Transaction Amounts:

Value Owned Following Transaction:

Value: 4,737,149

Ownership Nature:

Direct or Indirect Ownership:

Value: I

Nature of Ownership:

Value: By HCP Fund

Footnote ID: F3

Derivative Transaction:

Security Title:

Value: Senior Secured Convertible Note due 2024 (PIK Interest)

Footnote ID: F1

Conversion or Exercise Price:

Value: 0.40

Transaction Date:

Value: 12/31/19

Transaction Coding:

Transaction Form Type: 4

Transaction Code: A

Equity Swap Involved? No

Transaction Amounts:

Transaction Total Value:

Value: 132,507

Transaction Price Per Share:

Value: 0

Transaction Acquired-Disposed Code:

Value: A

Exercise Date:

Footnote ID: F2

Expiration Date:

Value: 1/15/24

Underlying Security:

Underlying Security Title:

Value: Common Stock

Underlying Security Shares:

Value: 331,267

Post-Transaction Amounts:

Value Owned Following Transaction:

Value: 5,432,772

Ownership Nature:

Direct or Indirect Ownership:

Value: I

Nature of Ownership:

Value: By Hybrid Fund

Footnote ID: F4

Derivative Transaction:

Security Title:

Value: Senior Secured Convertible Note due 2029 (PIK Interest)

Footnote ID: F1

Conversion or Exercise Price:

Value: 0.03

Transaction Date:

Value: 12/31/19

Transaction Coding:

Transaction Form Type: 4

Transaction Code: A

Equity Swap Involved? No

Transaction Amounts:

Transaction Total Value:

Value: 1,637

Transaction Price Per Share:

Value: 0

Transaction Acquired-Disposed Code:

Value: A

Exercise Date:

Footnote ID: F2

Expiration Date:

Value: 5/14/29

Underlying Security:

Underlying Security Title:

Value: Common Stock

Underlying Security Shares:

Value: 54,559

Post-Transaction Amounts:

Value Owned Following Transaction:

Value: 54,013

Ownership Nature:

Direct or Indirect Ownership:

Value: I

Nature of Ownership:

Value: By Jeffrey Lightcap

Footnotes:

Footnote - F1: On December 31, 2019, the 2014 Notes held by HCP Fund and Hybrid Fund and the 2019 Note 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.

Footnote - F2: Immediately exercisable.

Footnote - 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.

Footnote - 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.

Remarks: HealthCor Management, L.P. is the designated filer on behalf of the reporting persons listed on Exhibit 99.1, attached hereto. Due to the number of reporting persons, this is one of two Form 4s filed relating to the same securities.

Owner Signature:

Signature Name: HealthCor Management, L.P., By: HealthCor Associates, LLC, its general partner, By: /s/ Anabelle P. Gray, General Counsel

Signature Date: 1/2/20

Owner Signature:

Signature Name: HealthCor Partners GP, LLC, By: /s/ Anabelle P. Gray, General Counsel

Signature Date: 1/2/20

Owner Signature:

Signature Name: /s/ Anabelle P. Gray as attorney-in-fact for Jeffrey C. Lightcap

Signature Date: 1/2/20

Owner Signature:

Signature Name: /s/ Anabelle P. Gray as attorney-in-fact for Arthur Cohen

Signature Date: 1/2/20

Owner Signature:

Signature Name: /s/ Anabelle P. Gray as attorney-in-fact for Joseph Healey

Signature Date: 1/2/20

HealthCor Management, L.P., et al. – ‘4’ for 12/31/19 re: CareView Communications Inc.

On: Thursday, 1/2/20, at 4:07pm ET · For: 12/31/19 · Accession #: 908662-20-4 · File #: 0-54090

Previous ‘4’: ‘4’ on 1/2/20 for 12/31/19 · Next: ‘4’ on 4/1/20 for 3/31/20 · Latest: ‘4’ on 5/26/23 for 5/24/23

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

‘4’ — Statement of Changes in Beneficial Ownership of Securities by an Insider — edgar.xml/3.6

This ‘4’ Document is an XML Data File that may be rendered in various formats:

HealthCor Management, L.P., et al. – ‘4’ for 12/31/19 re: CareView Communications Inc.

On: Thursday, 1/2/20, at 4:07pm ET · For: 12/31/19 · Accession #: 908662-20-4 · File #: 0-54090

Previous ‘4’: ‘4’ on 1/2/20 for 12/31/19 · Next: ‘4’ on 4/1/20 for 3/31/20 · Latest: ‘4’ on 5/26/23 for 5/24/23

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

‘4’ — Statement of Changes in Beneficial Ownership of Securities by an Insider — edgar.xml/3.6

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents