0001062993-22-009389.txt : 20220404
0001062993-22-009389.hdr.sgml : 20220404
20220404160411
ACCESSION NUMBER: 0001062993-22-009389
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20220331
FILED AS OF DATE: 20220404
DATE AS OF CHANGE: 20220404
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Healey Joseph Patrick
CENTRAL INDEX KEY: 0001343779
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54090
FILM NUMBER: 22802070
MAIL ADDRESS:
STREET 1: 152 WEST 57TH STREET
STREET 2: 47TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cohen Arthur Bruce
CENTRAL INDEX KEY: 0001343780
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54090
FILM NUMBER: 22802071
MAIL ADDRESS:
STREET 1: 12 SOUTH MAIN STREET
STREET 2: SUITE #203
CITY: NORWALK
STATE: CT
ZIP: 06854
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lightcap Jeffrey C
CENTRAL INDEX KEY: 0001519465
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54090
FILM NUMBER: 22802072
MAIL ADDRESS:
STREET 1: 152 W 57TH STREET 43RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HealthCor Management, L.P.
CENTRAL INDEX KEY: 0001343781
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54090
FILM NUMBER: 22802074
BUSINESS ADDRESS:
STREET 1: 55 HUDSON YARDS, 28TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 212-622-7731
MAIL ADDRESS:
STREET 1: 55 HUDSON YARDS, 28TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HealthCor Partners GP, LLC
CENTRAL INDEX KEY: 0001519460
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54090
FILM NUMBER: 22802073
BUSINESS ADDRESS:
STREET 1: 152 W 57TH STREET 43RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-622-7871
MAIL ADDRESS:
STREET 1: 152 W 57TH STREET 43RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CareView Communications Inc
CENTRAL INDEX KEY: 0001377149
STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663]
IRS NUMBER: 954659068
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 405 STATE HIGHWAY 121
STREET 2: SUITE B-240
CITY: LEWISVILLE
STATE: TX
ZIP: 75067
BUSINESS PHONE: 972-943-6050
MAIL ADDRESS:
STREET 1: 405 STATE HIGHWAY 121
STREET 2: SUITE B-240
CITY: LEWISVILLE
STATE: TX
ZIP: 75067
4
1
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2022-03-31
0001377149
CareView Communications Inc
CRVW.OB
0001343781
HealthCor Management, L.P.
55 HUDSON YARDS, 28TH FLOOR
NEW YORK
NY
10001
1
0
1
0
0001519460
HealthCor Partners GP, LLC
1325 AVENUE OF AMERICAS, 28TH FLOOR
NEW YORK
NY
10019
1
0
1
0
0001519465
Lightcap Jeffrey C
1325 AVENUE OF AMERICAS, 28TH FLOOR
NEW YORK
NY
10019
1
0
1
0
0001343780
Cohen Arthur Bruce
12 SOUTH MAIN STREET
SUITE #203
NORWALK
CT
06854
1
0
1
0
0001343779
Healey Joseph Patrick
55 HUDSON YARDS, 28TH FLOOR
NEW YORK
NY
10001
1
0
1
0
Senior Secured Convertible Note due 2024 (PIK Interest)
0.40
2022-03-31
4
A
0
144294
0
A
2024-01-15
Common Stock
360735
5916050
I
By HCP Fund
Senior Secured Convertible Note due 2024 (PIK Interest)
0.40
2022-03-31
4
A
0
165482
0
A
2024-01-15
Common Stock
413707
6784788
I
By Hybrid Fund
Senior Secured Convertible Note due 2029 (PIK Interest)
0.03
2022-03-31
4
A
0
2159
0
A
2029-05-14
Common Stock
71968
71248
I
By Jeffrey Lightcap
Senior Secured Convertible Note due 2030 (PIK Interest)
0.01
2022-03-31
4
A
0
3948
0
A
2030-02-05
Common Stock
394795
130282
I
By Jeffrey Lightcap
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.
Immediately exercisable.
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.
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.
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.
HealthCor Management, L.P., By: HealthCor Associates, LLC, its general partner, By: /s/ Laurie Hadick, Chief Compliance Officer
2022-04-04
HealthCor Partners GP, LLC, By: /s/ Laurie Hadick, Chief Compliance Officer
2022-04-04
/s/ Laurie Hadick as attorney-in-fact for Jeffrey C. Lightcap
2022-04-04
/s/ Laurie Hadick as attorney-in-fact for Arthur Cohen
2022-04-04
/s/ Laurie Hadick as attorney-in-fact for Joseph Healey
2022-04-04
EX-24
2
exhibit24.txt
EXHIBIT 24 POA
POWER OF ATTORNEY
Know all by these presents
that each of the undersigned
hereby individually constitutes
and appoints John Doherty
the undersigned's true and
lawful attorney-in-fact, to:
(1) execute for and on behalf
of the undersigned a Form ID
application, and any amendments
thereto, to be filed with the
Securities and Exchange Commission
to obtain or update EDGAR codes
for the undersigned;
(2) execute for and on behalf of
the undersigned Forms 3, 4, and 5
and Schedules 13D or 13G, as
appropriate, and any amendments
thereto (collectively, "Reports"),
with respect to his securities
ownership of CareView Communications,
Inc. (the "Company"), in accordance
with Section 13(d) and/or Section 16(a)
of the Securities Exchange Act of 1934
and the rules thereunder;
(3) do and perform any and all
acts for and on behalf of the
undersigned which may be
necessary or desirable to
complete and execute any such
Report and timely file such
form with the United States
Securities and Exchange
Commission and any stock
exchange or similar authority;
and
(3) take any other action of any
type whatsoever in connection
with the foregoing which, in the
opinion of such attorney-in-fact,
may be of benefit to, in the
best interest of, or legally
required by, the undersigned, it
being understood that the
documents execute by such
attorney-in-fact on behalf of
the undersigned pursuant to this
Power of Attorney shall be in
such form and shall contain
such terms and conditions as such
attorney-in-fact may approve in
such attorney-in-fact's
discretion.
Each of the undersigned hereby
individually grants to such attorney-
in-fact full power and authority to do
and perform any and every act and
thing whatsoever requisite,
necessary, or proper to be done
in the exercise of any of the
rights and powers herein granted,
as fully to all intents and
purposes as the undersigned might
or could do if personally present,
with full power of substitution or
revocation, hereby ratifying and
confirming all that such attorney-
in-fact, or such attorney-in-fact's
substitute or substitutes, shall
lawfully do or cause to be done by
virtue of this power of attorney
and the rights and powers herein
granted. Each of the undersigned
hereby individually acknowledges that
the foregoing attorney-in-fact, in
serving in such capacity at the request
of the undersigned, is not assuming,
nor is the Company assuming, any of
the undersigned's responsibilities
to comply with Section 13(d) or 16 of
the Securities Exchange Act of 1934.
This Power of Attorney shall remain
in full force and effect until the
undersigned are no longer required to
file Reports with respect to such
undersigned's holdings of and transactions
in securities issued by the Company, unless
earlier revoked by the undersigned in a
signed writing delivered to the foregoing
attorney-in-fact.
IN WITNESS WHEREOF, each of the
undersigned has caused this
Power of Attorney to be
executed as of this 4th day
of October 2021.
/s/ Jeffrey C. Lightcap
/s/ Arthur Cohen
/s/ Joseph Healy
EX-99
3
exhibit99.txt
EXHIBIT 99.1
Exhibit 99.1
1. HealthCor Management, L.P.
55 Hudson Yards, 28th Fl., New York, NY 10001;
2. HealthCor Associates, LLC
55 Hudson Yards, 28th Fl., New York, NY 10001;
3. HealthCor Hybrid Offshore Master Fund, L.P.
55 Hudson Yards, 28th Fl., New York, NY 10001;
4. HealthCor Hybrid Offshore GP, LLC
55 Hudson Yards, 28th Fl., New York, NY 10001;
5. HealthCor Group, LLC
55 Hudson Yards, 28th Fl., New York, NY 10001;
6. HealthCor Partners Management, L.P.
55 Hudson Yards, 28th Fl., New York, NY 10001;
7. HealthCor Partners Management GP, LLC
55 Hudson Yards, 28th Fl., New York, NY 10001;
8. HealthCor Partners Fund, L.P.
55 Hudson Yards, 28th Fl., New York, NY 10001;
9. HealthCor Partners, L.P.
55 Hudson Yards, 28th Fl., New York, NY 10001;
10. HealthCor Partners GP, LLC
55 Hudson Yards, 28th Fl., New York, NY 10001;
11. Jeffrey C. Lightcap
55 Hudson Yards, 28th Fl., New York, NY 10001;
12. Arthur Cohen
12 South Main St., Suite 203, Norwalk, CT 06854;
13. Joseph Healey
55 Hudson Yards, 28th Fl., New York, NY 10001;