X0306 4 2019-12-31 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 2019-12-31 4 A 0 115540 0 A 2024-01-15 Common Stock 288851 4737149 I By HCP Fund Senior Secured Convertible Note due 2024 (PIK Interest) 0.40 2019-12-31 4 A 0 132507 0 A 2024-01-15 Common Stock 331267 5432772 I By Hybrid Fund Senior Secured Convertible Note due 2029 (PIK Interest) 0.03 2019-12-31 4 A 0 1637 0 A 2029-05-14 Common Stock 54559 54013 I By Jeffrey Lightcap 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. 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/ Anabelle P. Gray, General Counsel 2020-01-02 HealthCor Partners GP, LLC, By: /s/ Anabelle P. Gray, General Counsel 2020-01-02 /s/ Anabelle P. Gray as attorney-in-fact for Jeffrey C. Lightcap 2020-01-02 /s/ Anabelle P. Gray as attorney-in-fact for Arthur Cohen 2020-01-02 /s/ Anabelle P. Gray as attorney-in-fact for Joseph Healey 2020-01-02