# EDGAR Filing Document

**Accession Number:** 0001343781
**File Stem:** 0001062993-23-000239
**Filing Date:** 2023-1
**Character Count:** 28660
**Document Hash:** a08ee077c3ef2928052c0107547a2104
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-000239.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001062993-23-000239

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20221230

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**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:** 23506197

**BUSINESS ADDRESS:**
- **STREET 1:** 31 HUDSON YARDS, 11TH FLOOR
- **STREET 2:** OFFICE 60
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10001
- **BUSINESS PHONE:** 212-622-7874

**MAIL ADDRESS:**
- **STREET 1:** 31 HUDSON YARDS, 11TH FLOOR
- **STREET 2:** OFFICE 60
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10001
**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:** 23506200

**BUSINESS ADDRESS:**
- **STREET 1:** 31 HUDSON YARDS, 10TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10001
- **BUSINESS PHONE:** 2126227726

**MAIL ADDRESS:**
- **STREET 1:** 31 HUDSON YARDS, 10TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10001
**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:** 23506196

**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 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:** 23506201

**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 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:** 23506194

**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 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:** 23506199

**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 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:** 23506198

**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 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:** 23506195

**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 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:** 23506193

**BUSINESS ADDRESS:**
- **STREET 1:** 701 EAST BAY STREET
- **STREET 2:** SUITE 516
- **CITY:** CHARLESTON
- **STATE:** SC
- **ZIP:** 29403
- **BUSINESS PHONE:** (212) 622-7726

**MAIL ADDRESS:**
- **STREET 1:** 701 EAST BAY STREET
- **STREET 2:** SUITE 516
- **CITY:** CHARLESTON
- **STATE:** SC
- **ZIP:** 29403
**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

## Ex-24

```

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

```

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;

```

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Associates, LLC<br><sub>(Last) (First) (Middle)</sub><br>55 HUDSON YARDS, 28TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10001<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Group, LLC<br><sub>(Last) (First) (Middle)</sub><br>55 HUDSON YARDS, 28TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10001<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Hybrid Offshore GP, LLC<br><sub>(Last) (First) (Middle)</sub><br>55 HUDSON YARDS, 28TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10001<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Hybrid Offshore Master Fund, L.P.<br><sub>(Last) (First) (Middle)</sub><br>55 HUDSON YARDS, 28TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10001<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Management, L.P.<br><sub>(Last) (First) (Middle)</sub><br>55 HUDSON YARDS, 28TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10001<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Partners Fund LP<br><sub>(Last) (First) (Middle)</sub><br>701 EAST BAY STREET, SUITE 516<br><sub>(Street)</sub><br>CHARLESTON, SC 29403<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Partners LP<br><sub>(Last) (First) (Middle)</sub><br>701 EAST BAY STREET, SUITE 516<br><sub>(Street)</sub><br>CHARLESTON, SC 29403<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Partners Management GP, LLC<br><sub>(Last) (First) (Middle)</sub><br>701 EAST BAY STREET, SUITE 516<br><sub>(Street)</sub><br>CHARLESTON, SC 29403<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>HealthCor Partners Management LP<br><sub>(Last) (First) (Middle)</sub><br>701 EAST BAY STREET, SUITE 516<br><sub>(Street)</sub><br>CHARLESTON, SC 29403<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CareView Communications Inc [ CRVW.OB ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Senior Secured Convertible Note due 2024<sup>(1)</sup> | $0.40 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2024-01-15 | Common Stock | 14429391 | <sup>(3)</sup> |  | I | By HCP Fund<sup>(4)</sup> |
| Senior Secured Convertible Note due 2024<sup>(1)</sup> | $0.40 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2024-01-15 | Common Stock | 16548263 | <sup>(3)</sup> |  | I | By Hybrid Fund<sup>(5)</sup> |
| Senior Secured Convertible Note due 2025<sup>(1)</sup> | $0.52 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2025-02-16 | Common Stock | 4280277 | <sup>(3)</sup> |  | I | By HCP Fund<sup>(4)</sup> |
| Senior Secured Convertible Note due 2025<sup>(1)</sup> | $0.52 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2025-02-16 | Common Stock | 2996194 | <sup>(3)</sup> |  | I | By Jeffrey Lightcap IRA |
| Senior Secured Convertible Note due 2025<sup>(1)</sup> | $0.52 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2025-02-16 | Common Stock | 3484856 | <sup>(3)</sup> |  | I | By Arthur Cohen |
| Senior Secured Convertible Note due 2025<sup>(1)</sup> | $0.52 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2025-02-16 | Common Stock | 2568166 | <sup>(3)</sup> |  | I | By Joseph Healey |
| Senior Secured Convertible Note due 2028<sup>(1)</sup> | $0.05 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2028-02-22 | Common Stock | 8032014 | <sup>(3)</sup> |  | I | By Jeffrey Lightcap |
| Senior Secured Convertible Note due 2028<sup>(1)</sup> | $0.05 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2028-07-10 | Common Stock | 7659596 | <sup>(3)</sup> |  | I | By Jeffrey Lightcap |
| Senior Secured Convertible Note due 2029<sup>(1)</sup> | $0.03 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2029-05-12 | Common Stock | 2302971 | <sup>(3)</sup> |  | I | By Jeffrey Lightcap |
| Senior Secured Convertible Note due 2030<sup>(1)</sup> | $0.01 | 2022-12-30 |  | D |  |  |  | <sup>(2)</sup> | 2030-02-06 | Common Stock | 12633454 | <sup>(3)</sup> |  | I | By Jeffrey Lightcap |
| Senior Secured Convertible Note due 2023<sup>(1)</sup> | $0.10 | 2022-12-30 |  | A |  |  |  | <sup>(2)</sup> | 2023-12-31 | Common Stock | 173030000 | <sup>(3)</sup> |  | I | By HCP Fund<sup>(4)</sup> |
| Senior Secured Convertible Note due 2023<sup>(1)</sup> | $0.10 | 2022-12-30 |  | A |  |  |  | <sup>(2)</sup> | 2023-12-31 | Common Stock | 186970000 | <sup>(3)</sup> |  | I | By Hybrid Fund<sup>(5)</sup> |
| Senior Secured Convertible Note due 2023<sup>(1)</sup> | $0.10 | 2022-12-30 |  | A |  |  |  | <sup>(2)</sup> | 2023-12-31 | Common Stock | 6500000 | <sup>(3)</sup> |  | I | By Jeffrey Lightcap |
| Senior Secured Convertible Note due 2023<sup>(1)</sup> | $0.10 | 2022-12-30 |  | A |  |  |  | <sup>(2)</sup> | 2023-12-31 | Common Stock | 7000000 | <sup>(3)</sup> |  | I | By Jeffrey Lightcap IRA |
| Senior Secured Convertible Note due 2023<sup>(1)</sup> | $0.10 | 2022-12-30 |  | A |  |  |  | <sup>(2)</sup> | 2023-12-31 | Common Stock | 8141660 | <sup>(3)</sup> |  | I | By Arthur Cohen |
| Senior Secured Convertible Note due 2023<sup>(1)</sup> | $0.10 | 2022-12-30 |  | A |  |  |  | <sup>(2)</sup> | 2023-12-31 | Common Stock | 6000000 | <sup>(3)</sup> |  | I | By Joseph Healey |

---

### Footnotes:

(1) On December 30, 2022, the reporting persons exchanged all outstanding notes issued under the Note and Warrant Purchase Agreement dated as of April 21, 2011, as amended, including notes issued in 2011 and 2012 with an aggregate principal balance of $56,610,135 which had previously been amended to remove the conversion feature, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the same time, the reporting persons surrendered for cancellation all outstanding warrants held by them, representing an aggregate of 11,978,909 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.

(2) Immediately exercisable.

(3) See footnote (1).

(4) 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.

(5) 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.

**Signature:** HealthCor Management, L.P., By:  HealthCor Associates, LLC, its general partner, By: /s/ Arthur Bruce Cohen, Authorized Signatory  
**Date:** 2023-01-04

**Signature:** 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/ Arthur Bruce Cohen, Authorized Signatory  
**Date:** 2023-01-04

**Signature:** HealthCor Associates, LLC, By:  /s/ Arthur Bruce Cohen, Authorized Signatory  
**Date:** 2023-01-04

**Signature:** HealthCor Group, LLC,  By:  /s/ Arthur Bruce Cohen, Authorized Signatory  
**Date:** 2023-01-04

**Signature:** HealthCor Partners Management, L.P.,  By:  HealthCor Partners Management GP, LLC, its general partner,  By: /s/ Jeffrey Lightcap, Authorized Signatory  
**Date:** 2023-01-04

**Signature:** HealthCor Partners Management GP, LLC,  By: /s/ Jeffrey Lightcap, Authorized Signatory  
**Date:** 2023-01-04

**Signature:** 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/ Jeffrey Lightcap, Authorized Signatory  
**Date:** 2023-01-04

### Remarks:

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.**