0000908662-19-000193.txt : 20191002 0000908662-19-000193.hdr.sgml : 20191002 20191002160610 ACCESSION NUMBER: 0000908662-19-000193 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191002 DATE AS OF CHANGE: 20191002 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: 191132253 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 Associates, LLC CENTRAL INDEX KEY: 0001409305 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132254 BUSINESS ADDRESS: STREET 1: CARNEGIE HALL TOWER STREET 2: 152 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2126227726 MAIL ADDRESS: STREET 1: CARNEGIE HALL TOWER STREET 2: 152 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCor Hybrid Offshore Master Fund, L.P. CENTRAL INDEX KEY: 0001454850 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132255 BUSINESS ADDRESS: STREET 1: MAPLES & CALDER FINANCIAL SERVICES, LTD. STREET 2: UGLAND HOUSE CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 2126227872 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCor Hybrid Offshore GP, LLC CENTRAL INDEX KEY: 0001454849 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132256 BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2126227872 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCor Group, LLC CENTRAL INDEX KEY: 0001409307 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132257 BUSINESS ADDRESS: STREET 1: CARNEGIE HALL TOWER STREET 2: 152 WEST 57TH STREET, 47TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2126227726 MAIL ADDRESS: STREET 1: CARNEGIE HALL TOWER STREET 2: 152 WEST 57TH STREET, 47TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCor Partners Management LP CENTRAL INDEX KEY: 0001519462 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132258 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCor Partners Management GP, LLC CENTRAL INDEX KEY: 0001519463 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132259 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCor Partners Fund LP CENTRAL INDEX KEY: 0001408660 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132260 BUSINESS ADDRESS: STREET 1: Carnegie Hall Tower STREET 2: 152 West 57th Street, 47th Floor CITY: New York STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 622-7884 MAIL ADDRESS: STREET 1: Carnegie Hall Tower STREET 2: 152 West 57th Street, 47th Floor CITY: New York STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCor Partners LP CENTRAL INDEX KEY: 0001519456 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54090 FILM NUMBER: 191132261 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 edgar.xml PRIMARY DOCUMENT X0306 4 2019-09-30 0001377149 CareView Communications Inc CRVW.OB 0001343781 HealthCor Management, L.P. 55 HUDSON YARDS, 28TH FLOOR NEW YORK NY 10001 1 0 1 0 0001409305 HealthCor Associates, LLC 55 HUDSON YARDS, 28TH FLOOR NEW YORK NY 10001 1 0 1 0 0001454850 HealthCor Hybrid Offshore Master Fund, L.P. 55 HUDSON YARDS, 28TH FLOOR NEW YORK NY 10001 1 0 1 0 0001454849 HealthCor Hybrid Offshore GP, LLC 55 HUDSON YARDS, 28TH FLOOR NEW YORK NY 10001 1 0 1 0 0001409307 HealthCor Group, LLC 55 HUDSON YARDS, 28TH FLOOR NEW YORK NY 10001 1 0 1 0 0001519462 HealthCor Partners Management LP 1325 AVENUE OF AMERICAS, 28TH FLOOR NEW YORK NY 10019 1 0 1 0 0001519463 HealthCor Partners Management GP, LLC 1325 AVENUE OF AMERICAS, 28TH FLOOR NEW YORK NY 10019 1 0 1 0 0001408660 HealthCor Partners Fund LP 1325 AVENUE OF AMERICAS, 28TH FLOOR NEW YORK NY 10019 1 0 1 0 0001519456 HealthCor Partners LP 1325 AVENUE OF AMERICAS, 28TH FLOOR NEW YORK NY 10019 1 0 1 0 Senior Secured Convertible Note due 2024 (PIK Interest) .40 2019-09-30 4 A 0 112722.00 0 A 2024-01-15 Common Stock 281805 4621609.00 I By HCP Fund Senior Secured Convertible Note due 2024 (PIK Interest) .40 2019-09-30 4 A 0 129275.00 0 A 2024-01-15 Common Stock 323187 5300265.00 I By Hybrid Fund Senior Secured Convertible Note due 2029 (PIK Interest) .03 2019-09-30 4 A 0 1587.00 0 A 2029-05-14 Common Stock 52905 52376.00 I By Jeffrey Lightcap On September 30, 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 2019-10-02 HealthCor Hybrid Offshore GP, LLC for itself and as general partner on behalf of HealthCor Hybrid Offshore Master Fund, L.P., By: HealthCor Group, LLC, its general partner, By: /s/ Anabelle P. Gray, General Counsel 2019-10-02 HealthCor Associates, LLC, By: /s/ Anabelle P. Gray, General Counsel 2019-10-02 HealthCor Group, LLC, By: /s/ Anabelle P. Gray, General Counsel 2019-10-02 HealthCor Partners Management, L.P., By: HealthCor Partners Management GP, LLC, its general partner, By: /s/ Anabelle P. Gray, General Counsel 2019-10-02 HealthCor Partners Management GP, LLC, By: /s/ Anabelle P. Gray, General Counsel 2019-10-02 HealthCor Partners L.P., for itself, and as general partner on behalf of Healthcor Partners Fund, L.P., By: HealthCor Partners GP, LLC, its general partner, By: /s/ Anabelle P. Gray, General Counsel 2019-10-02 EX-99 2 healthcoreex99.htm EXHIBIT 99

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;