Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 36)
CareView Communications, Inc.
(Name of Issuer)
Common Stock, $.001 Par Value Per Share
(Title Class of Securities)
141743104
(CUSIP Number)
HealthCor Management, L.P.
55 Hudson Yards, 28th Floor
New York, New York 10001
Attention: John Doherty
(212) 622-7800
With a Copy to:
Eugene McDermott
Locke Lord LLP
2800 Financial Plaza
Providence, RI 02903
(401) 276-6471
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
September 30, 2021
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ¨
NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
(1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 141743104 | 13D | Page 2 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Management, L.P. |
|||
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ¨ (b) x |
||
| (3) | SEC USE ONLY | |||
| (4) |
SOURCE OF FUNDS WC |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 19,884,047 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 19,884,047 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,884,047 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.5% |
|||
| (14) |
TYPE OF REPORTING PERSON
PN |
|||
| CUSIP No. 141743104 | 13D | Page 3 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Associates, LLC |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(b) x |
||
| (3) | SEC USE ONLY
|
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 19,884,047 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 19,884,047 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,884,047 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.5% |
|||
| (14) |
TYPE OF REPORTING PERSON
OO- limited liability company |
|||
| CUSIP No. 141743104 | 13D | Page 4 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Hybrid Offshore Master Fund, L.P. |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 19,884,047 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 19,884,047 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,884,047 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.5% |
|||
| (14) |
TYPE OF REPORTING PERSON
PN |
|||
| CUSIP No. 141743104 | 13D | Page 5 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Hybrid Offshore GP, LLC |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
( 7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 19,884,047 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 19,884,047 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,884,047 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.5% |
|||
| (14) |
TYPE OF REPORTING PERSON
OO-limited liability company |
|||
| CUSIP No. 141743104 | 13D | Page 6 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Group, LLC |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 19,884,047 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 19,884,047 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,884,047 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.5% |
|||
| (14) |
TYPE OF REPORTING PERSON
OO-limited liability company |
|||
| CUSIP No. 141743104 | 13D | Page 7 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Partners Management, L.P. |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS WC |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 22,129,319 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 22,129,319 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,129,319 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7% |
|||
| (14) |
TYPE OF REPORTING PERSON
PN |
|||
| CUSIP No. 141743104 | 13D | Page 8 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Partners Management GP, LLC |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 22,129,319 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 22,129,319 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,129,319 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7% |
|||
| (14) |
TYPE OF REPORTING PERSON
OO- limited liability company |
|||
| CUSIP No. 141743104 | 13D | Page 9 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Partners Fund, L.P. |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 22,129,319 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 22,129,319 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,129,319 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7% |
|||
| (14) |
TYPE OF REPORTING PERSON
PN |
|||
| CUSIP No. 141743104 | 13D | Page 10 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Partners L.P. |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 22,129,319 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 22,129,319 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,129,319 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7% |
|||
| (14) |
TYPE OF REPORTING PERSON
PN |
|||
| CUSIP No. 141743104 | 13D | Page 11 of 19 |
| (1) |
NAME OF REPORTING PERSON
HealthCor Partners GP, LLC |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 0 | ||
| (8) | SHARED VOTING POWER 22,129,319 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 22,129,319 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,129,319 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7% |
|||
| (14) |
TYPE OF REPORTING PERSON
OO- limited liability company |
|||
| CUSIP No. 141743104 | 13D | Page 12 of 19 |
| (1) |
NAME OF REPORTING PERSON
Jeffrey C. Lightcap |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF, PF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION United States |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 33,116,298 | ||
| (8) | SHARED VOTING POWER 22,129,319 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 22,129,319 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
55,245,617 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
28.4% |
|||
| (14) |
TYPE OF REPORTING PERSON
IN |
|||
| CUSIP No. 141743104 | 13D | Page 13 of 19 |
| (1) |
NAME OF REPORTING PERSON
Arthur Cohen |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF, PF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION United States |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 3,900,885 | ||
| (8) | SHARED VOTING POWER 42,013,366 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 42,013,366 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
45,914,251 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
24.8% |
|||
| (14) |
TYPE OF REPORTING PERSON
IN |
|||
| CUSIP No. 141743104 | 13D | Page 14 of 19 |
| (1) |
NAME OF REPORTING PERSON
Joseph Healey |
|||
| (2) |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ |
||
| (3) | SEC USE ONLY |
|||
| (4) |
SOURCE OF FUNDS AF, PF |
|||
| (5) | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ¨ | ||
| (6) |
CITIZENSHIP OR PLACE OF ORGANIZATION United States |
|||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(7) | SOLE VOTING POWER 2,874,759 | ||
| (8) | SHARED VOTING POWER 42,013,366 | |||
| (9) |
SOLE DISPOSITIVE POWER
| |||
| (10) | SHARED DISPOSITIVE POWER 42,013,366 |
| (11) |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
44,888,125 |
|||
| (12) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ¨ | ||
| (13) |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
24.4% |
|||
| (14) |
TYPE OF REPORTING PERSON
IN |
|||
| CUSIP No. 141743104 | 13D | Page 15 of 19 |
This Amendment No. 36 to Schedule 13D (the “Amendment”) amends and supplements the beneficial ownership statement on Schedule 13D originally filed with the Securities and Exchange Commission on May 2, 2011, as amended by Amendment No. 1 filed October 3, 2011, Amendment No. 2 filed January 3, 2012, Amendment No. 3 filed February 2, 2012, Amendment No. 4 filed October 2, 2012, Amendment No. 5 filed April 5, 2013, Amendment No. 6 filed October 2, 2013, Amendment No. 7 filed January 3, 2014, Amendment No. 8 filed January 21, 2014, Amendment No. 9 filed July 1, 2014, Amendment No. 10 filed January 6, 2015, Amendment No. 11 filed February 20, 2015, Amendment No. 12 filed April 12, 2015, Amendment No. 13 filed July 6, 2015, Amendment No. 14 filed October 2, 2015, Amendment No. 15 filed January 4, 2016, Amendment No. 16 filed April 6, 2016, Amendment No. 17 filed July 1, 2016, Amendment No. 18 filed October 3, 2016, Amendment No. 19 filed January 3, 2017, Amendment No. 20 filed April 3, 2017, Amendment No. 21 filed July 5, 2017, Amendment No. 22 filed October 2, 2017, Amendment No. 23 filed January 3, 2018, Amendment No. 24 filed February 28, 2018, Amendment No. 25 filed July 17, 2018, Amendment No. 26 filed January 3, 2019, Amendment No. 27 filed May 17, 2019, Amendment No. 28 filed January 2, 2020, Amendment No. 29 filed February 10, 2020, Amendment No. 30 filed July 2, 2020, Amendment No. 31 filed October 2, 2020, Amendment No. 32 filed January 5, 2021, Amendment No. 33 filed April 1, 2021, Amendment No. 34 filed April 22, 2021 and Amendment No. 35 filed July 1, 2021 (collectively, the “Original Statement”). The persons filing this Amendment are HealthCor Management, L.P., HealthCor Associates, LLC, HealthCor Hybrid Offshore Master Fund, L.P., HealthCor Hybrid Offshore GP, LLC, HealthCor Group, LLC, HealthCor Partners Management, L.P., HealthCor Partners Management GP, LLC, HealthCor Partners Fund, L.P., HealthCor Partners, L.P., HealthCor Partners GP, LLC, Jeffrey C. Lightcap, Joseph Healey and Arthur Cohen. The Original Statement, as amended by this Amendment (the “Statement”), relates to the shares of Common Stock of CareView Communications, Inc., par value $0.001 (the "Common Stock").
Capitalized terms used herein but not defined shall have the meanings ascribed to them in the Original Statement. This Amendment amends the Original Statement as specifically set forth herein. Except as set forth below, all previous Items in the Original Statement remain unchanged.
The Amendment is being filed for the purpose of reflecting the payment of interest in kind with respect to the 2014 Notes, the 2015 Notes, the 2018 Notes, the Tenth Amendment Notes, the Twelfth Amendment Notes and the Thirteenth Amendment Notes on September 30, 2021.
Item 5. Interest in Securities of the Issuer
Item 5 is hereby amended and restated in its entirety as follows:
(a) Collectively, the Reporting Persons beneficially own an aggregate of 81,905,308 shares of Common Stock, representing (i) 12,250,622 shares of Common Stock that may be acquired upon conversion of the Thirteenth Amendment Notes (including interest paid in kind on September 30, 2021), (ii) 2,233,184 shares of Common Stock that may be acquired upon con version of the Twelfth Amendment Notes (including interest paid in kind through September 30, 2021), (iii) 7,427,487 shares of Common Stock that may be acquired upon conversion of the Tenth Amendment Notes (including interest paid in kind through September 30, 2021), (iv) 7,788,620 shares of Common Stock that may be acquired upon conversion of the 2018 Notes (including interest paid in kind through September 30, 2021), (v) 13,004,384 shares of Common Stock that may be acquired upon conversion of the 2015 Notes (including interest paid in kind through September 30, 2021), (vi) 30,222,102 shares of Common Stock that may be acquired upon conversion of the 2014 Notes (including interest paid in kind through September 30, 2021), (vii) 4,000,000 shares of Common Stock that may be acquired upon exercise of the 2014 Warrants, (viii) 1,916,409 shares of Common Stock that may be acquired upon exercise of the 2015 Warrants, (ix) 1,000,000 shares of Common Stock that may be acquired upon exercise of the Sixth Amendment Warrants, (x) 62,500 shares of Common Stock that may be acquired upon exercise of the 2018 Warrants and (xi) 2,000,000 shares of Common Stock that may be acquired upon exercise of the 2021 Warrants (the 2014 Warrants, the 2015 Warrants, the Sixth Amendment Warrants, the 2018 Warrants and the 2021 Warrants together, the “Warrants”). This aggregate amount represents approximately 37.0% of the Issuer’s outstanding common stock, based upon 139,380,748 shares outstanding as of August 16, 2021, as reported in the Issuer’s most recent Quarterly Report on Form 10-Q, and gives effect to the conversion of all 2014 Notes, 2015 Notes, 2018 Notes, Tenth Amendment Notes, Twelfth Amendment Notes and Thirteenth Amendment Notes held by the Reporting Persons into Common Stock and the exercise of all Warrants held by the Reporting Persons.
| CUSIP No. 141743104 | 13D | Page 16 of 19 |
Of the amount beneficially owned by the Reporting Persons:
(i) HCP Fund is the beneficial owner of (A) 4,175,880 shares of Common Stock underlying the current principal amount of the 2015 Note issued to it (including interest paid in kind through September 30, 2021), (B) 14,077,455 shares of Common Stock underlying the current principal amount of the 2014 Note issued to it (including interest paid in kind through September 30, 2021), (C) 931,600 shares of Common Stock that it has a right to acquire upon exercise of its 2021 Warrant, (D) 465,800 shares of Common Stock that it has a right to acquire upon exercise of its Sixth Amendment Warrant, (E) 615,384 shares of Common Stock that it has a right to acquire upon exercise of its 2015 Warrant, and (F) 1,863,200 shares of Common Stock that it has a right to acquire upon exercise of its 2014 Warrant;
(ii) By virtue of their relationship to HCP Fund, described in more detail under Item 2 of this Statement, each of HealthCor Partners, L.P., HCPGP, HealthCor Partners Management, L.P., and HCPMGP may be deemed to share beneficial ownership with HCP Fund of the shares of Common Stock beneficially owned by the HCP Fund;
(iii) Hybrid Fund is the beneficial owner of (A) 16,144,647 shares of Common Stock underlying the current principal amount of the 2014 Note issued to it (including interest paid in kind through September 30, 2021), (B) 1,068,400 shares of Common Stock that it has a right to acquire upon exercise of its 2021 Warrant, (C) 534,200 shares of Common Stock that it has a right to acquire upon exercise of its Sixth Amendment Warrant, and (D) 2,136,800 shares of Common Stock that it has a right to acquire upon exercise of its 2014 Warrant;
(iv) By virtue of their relationship to Hybrid Fund, described in more detail under Item 2 of this Statement, each of Offshore GP, Group, HealthCor Management, L.P., and Associates may be deemed to share beneficial ownership with Hybrid Fund of the shares of Common Stock beneficially owned by Hybrid Fund;
(v) By virtue of his relationship to HCP Fund, Mr. Lightcap may be deemed to share beneficial ownership of the shares of Common Stock beneficially owned by HCP Fund. In addition, Mr. Lightcap is the beneficial owner of (A) 12,250,622 shares of Common Stock underlying the principal amount of the Thirteenth Amendment Note purchased by him under the Thirteenth Amendment (including interest paid in kind through September 30, 2021), (B) 2,233,184 shares of Common Stock underlying the principal amount of the Twelfth Amendment Note purchased by him under the Twelfth Amendment (including interest paid in kind through September 30, 2021); (C) 7,427,487 shares of Common Stock underlying the current principal amount of the Tenth Amendment Note purchased by him pursuant to the Tenth Amendment (including interest paid in kind through September 30, 2021); (D) 7,788,620 shares of Common Stock underlying the current principal amount of the 2018 Note purchased by him under the Eighth Amendment (including interest paid in kind through September 30, 2021), (E) 2,923,116 shares of Common Stock underlying the current principal amount of the 2015 Note purchased by him under the Fifth Amendment (including interest paid in kind through September 30, 2021), (F) 62,500 shares of Common Stock that he has a right to acquire upon exercise of his 2018 Warrant and (G) 430,769 shares of Common Stock that he has a right to acquire upon exercise of his 2015 Warrant;
| CUSIP No. 141743104 | 13D | Page 17 of 19 |
(vi) By virtue of his relationship to HCP Fund and Hybrid Fund, Mr. Cohen may be deemed to share beneficial ownership of the shares of Common Stock beneficially owned by each of the Funds. In addition, Mr. Cohen is the beneficial owner of (A) 3,399,860 shares of Common Stock underlying the current principal amount of the 2015 Note purchased by him under the Fifth Amendment (including interest paid in kind through September 30, 2021) and (B) 501,025 shares of Common Stock that he has a right to acquire upon exercise of his 2015 Warrant; and
(vii) By virtue of his relationship to HCP Fund and Hybrid Fund, Mr. Healey may be deemed to share beneficial ownership of the shares of Common Stock beneficially owned by each of the Funds. In addition, Mr. Healey is the beneficial owner of (A) 2,505,528 shares of Common Stock underlying the current principal amount of the 2015 Note purchased by him under the Fifth Amendment (including interest paid in kind through September 30, 2021) and (B) 369,231 shares of Common Stock that he has a right to acquire upon exercise of his 2015 Warrant.
The filing of this Statement shall not be construed as an admission that any of the Reporting Persons is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any of the shares of Common Stock owned by the Funds or any other Reporting Person. Pursuant to Rule 13d-4, each of the Reporting Persons disclaims such beneficial ownership.
(b) The information in Items 7 through 10 of each cover page to this Statement is incorporated by reference into this Item 5(b).
(c) On September 30, 2021, the Issuer paid in-kind interest on the 2014 Notes in the principal amounts of $137,341 and $157,509 to the HCP Fund and Hybrid Fund, respectively. On the same date, the Issuer paid in-kind interest on the 2015 Notes in the principal amounts of $52,962, $37,074, $43,120 and $31,777 to HCP Fund, Mr. Lightcap, Mr. Cohen and Mr. Healey, respectively, and paid in-kind interest on the 2018 Notes, the Tenth Amendment Notes, the Twelfth Amendment notes and the Thirteenth Amendment Notes in the principal amounts of $11,801, $11,254, $2,030 and $3,712, respectively, to Mr. Lightcap. Except as set forth in the previous sentences, the Reporting Persons have effected no transactions relating to the Common Stock since their most recent amendment to the Original Statement.
(d)-(e) Inapplicable.
| CUSIP No. 141743104 | 13D | Page 18 of 19 |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
October 4, 2021
| HEALTHCOR MANAGEMENT, L.P. | |||
| By: HealthCor Associates, LLC, its general partner | |||
| By: | /s John Doherty | ||
| Name: John Doherty | |||
| Title: General Counsel | |||
| 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 John Doherty | ||
| Name: John Doherty | |||
| Title: General Counsel | |||
| HEALTHCOR ASSOCIATES, LLC | |||
| By: | /s John Doherty | ||
| Name: John Doherty | |||
| Title: General Counsel | |||
| HEALTHCOR GROUP, LLC | |||
| By: | /s John Doherty | ||
| Name: John Doherty | |||
| Title: General Counsel | |||
| CUSIP No. 141743104 | 13D | Page 19 of 19 |
| HEALTHCOR PARTNERS MANAGEMENT, L.P. | |||
| By: HealthCor Partners Management GP, LLC, its general partner | |||
| By: | /s/ Jeffrey C. Lightcap | ||
| Name: Jeffrey C. Lightcap | |||
| Title: Member | |||
| HEALTHCOR PARTNERS MANAGEMENT GP, LLC | |||
| By: | /s/ Jeffrey C. Lightcap | ||
| Name: Jeffrey C. Lightcap | |||
| Title: Member | |||
| 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 C. Lightcap | ||
| Name: Jeffrey C. Lightcap | |||
| Title: Member | |||
| HEALTHCOR PARTNERS GP, LLC | |||
| By: | /s/ Jeffrey C. Lightcap | ||
| Name: Jeffrey C. Lightcap | |||
| Title: Member | |||
| JEFFREY C. LIGHTCAP, Individually | |||
| /s/ Jeffrey C. Lightcap | |||
| JOSEPH HEALEY, Individually | |||
| /s/ Joseph Healey | |||
| ARTHUR COHEN, Individually | |||
| /s/ Arthur Cohen | |||