WASHINGTON, D.C. 20549
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 §§240.13d-1(e),
240.13d-1(f) or 240.13d-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 §240.13d-7 for other parties to whom copies are to
be sent.
*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. 141743 10 4 |
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1. |
Name of Reporting Persons.
Steven Epstein |
2. |
Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ |
3.
|
SEC Use Only
|
4.
|
Source of Funds
OO-Other |
5. |
Check 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
17,210,808 (1)(2)(3)(4) |
8.
|
Shared Voting Power
-0- |
9. |
Sole Dispositive Power
17,210,808 (1)(2)(3)(4) |
10. |
Shared Dispositive Power
-0- |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
17,210,808 (1)(2)(3)(4)(5) |
12. |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ |
13. |
Percent of Class Represented by Amount of Row (11)
11.2% (5) |
14. |
Type of Reporting Person
IN |
______________________
| (1) | Includes 178,846 shares of Common Stock underlying warrants exercisable
at any time. |
| (2) | Includes 12,500,000 shares of Common Stock underlying convertible notes
convertible at any time. |
| (3) | Includes 2,251,962 shares of Common Stock underlying options exercisable
within sixty days. |
| (4) | Includes 1,780,000 shares of Common Stock held by Epstein Partners, LLC,
to which Mr. Epstein disclaims 890,000 shares. |
| (5) | Based on 154,311,556 shares of Common Stock outstanding which would be outstanding
if all of Mr. Epstein’s options exercisable within sixty days, warrants and convertible notes were exercised or converted. |
CUSIP No. 141743 10 4 |
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Item 1. Security and Issuer
The class of equity securities
to which this Schedule 13D relates is the common stock, $.001 par value, of CareView Communications, Inc., a Nevada corporation (“Company”
or “Issuer”). The address of the principal executive office of the Company is 405 State Highway 121, Suite B-240, Lewisville,
TX 75067.
| Item 2. | Identity and Background. |
| (a) | Names: Steven Epstein (the “Reporting Person”). |
| (b) | Residence or Business Address of Reporting Person: |
405 State Highway 121,
Suite B-240, Lewisville, TX 75067.
| (c) | Present principal occupation or employment: Steven Epstein serves as one
of the Company’s directors. |
| (d) | During the last five years, the Reporting Person has not been convicted
in a criminal proceeding (excluding traffic violations or similar misdemeanors). |
| (e) | During the last five years, the Reporting Person has not been a party to
a civil proceeding of a judicial or administrative body of competent jurisdiction which as a result of such proceeding was or is subject
to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state
securities laws or finding violation with respect to such laws. |
| (f) | Citizenship: United States of America. |
| Item 3. | Source and Amount of Funds or Other Consideration. |
Acquisition of Shares of the Issuer
On August 18, 2016, Mr. Epstein
purchased 477,000 shares of the Company’s Common Stock in the market.
On August 19, 2016, Mr. Epstein
purchased 171,000 shares of the Company’s Common Stock in the market.
On August 22, 2016, Mr. Epstein
purchased 345,000 shares of the Company’s Common Stock in the market.
On August 23, 2015, Mr. Epstein
purchased 7,000 shares of the Company’s Common Stock in the market.
On November 29, 2016, Mr. Epstein
purchase 500,000 shares of the Company’s Common Stock in the market.
On April 10, 2017, Mr. Epstein
purchased 230,000 shares of the Company’s Common Stock in the market.
On April 13, 2017, Mr. Epstein
purchased 50,000 shares of the Company’s Common Stock in the market.
On August 20, 2020, Mr. Epstein
purchased 1,780,000 shares of the Company’s Common Stock in the market.
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Acquisition of Derivative Securities of the
Issuer
Non-Qualified Stock Options (“Options”)
On April 1, 2014, Mr. Epstein
was issued an Option under the CareView Communications 2009 Stock Incentive Plan for 500,000 underlying shares of the Company’s
Common Stock at an exercise price of $0.68 per share. The underlying shares of the ten-year Option vested over three years. The Option
was issued in exchange for the services provided by Mr. Epstein in his role as a director.
On February 25, 2015, Mr. Epstein
was issued an Option under the CareView Communications 2009 Stock Incentive Plan for 50,000 underlying shares of the Company’s Common
Stock at an exercise price of $0.53 per share. The underlying shares of the ten-year Option vested over three years. The Option was issued
in exchange for the services provided by Mr. Epstein in his role as a director.
On August 31, 2016, Mr. Epstein
was issued an Option under the CareView Communications 2015 Stock Incentive Plan for 235,295 underlying shares of the Company’s
Common Stock at an exercise price of $0.17 per share. The ten-year Option vested over three years. The Option was issued in exchange for
the services provided by Mr. Epstein in his role as a director.
On November 30, 2017, Mr. Epstein
was issued an Option under the CareView Communications 2016 Stock Incentive Plan for 666,667 underlying shares of the Company’s
Common Stock at an exercise price of $0.11 per share. The ten-year Option vested over three years. The Option was issued in exchange for
the services to be provided by Mr. Epstein in his role as a director.
On August 10, 2020, Mr. Epstein
was issued an Option under the CareView Communications 2020 Stock Incentive Plan for 1,200,000 underlying shares of the Company’s
Common Stock at an exercise price of $0.035 per share. The ten-year Option vests at 400,000 shares per year on the first, second and third
anniversary of the issuance date.
Senior Secured Convertible Note due 2025 and Common
Stock Purchase Warrants
On December 15, 2014, the Company
entered into a Fifth Amendment to Note and Warrant Purchase Agreement (the “Fifth Amendment”) with the HealthCor Parties and
certain additional investors party thereto (such additional investors, the “Fifth Amendment New Investors” and, collectively
with the HealthCor Parties, the “Fifth Amendment Investors”) to sell and issue (i) additional notes in the initial aggregate
principal amount of $6,000,000, with a conversion price per share equal to $0.52 (subject to adjustment as described therein) (the “Fifth
Amendment Supplemental Closing Notes”) and (ii) additional warrants to purchase an aggregate of up to 3,692,308 shares of our Common
Stock at an exercise price per share equal to $0.52 (subject to adjustment as described therein) (the “Fifth Amendment Supplemental
Warrants”).
The Fifth Amendment New Investors
included all but one of the Company’s current directors as well as one of the Company’s officers who is not also a director.
The closing date of the transaction was February 17, 2015 (the “Fifth Amendment Supplemental Closing Date”). On the Fifth
Amendment Supplemental Closing Date, each of
the Fifth Amendment Investors purchased the Fifth
Amendment Supplemental Closing Notes and the Fifth Amendment Supplemental Warrants for cash, payable by wire transfer in same day funds
to an account specified by the Company.
The Purchase Agreement and Fifth
Amendment provide that the Company grant to the Fifth Amendment Investors a security interest in the assets of the Company as collateral
for payment of the Fifth Amendment Supplemental Closing Notes, evidenced by that certain Pledge and Security Agreement dated as of April
20, 2011 (the “Security Agreement”) and by that certain Intellectual Property Security Agreement dated as of April 20, 2011
(the “IP Security Agreement”). On the Fifth Amendment Supplemental Closing Date, the Company entered into an amended and restated
Security Agreement and an amended and restated IP Security Agreement in order, among
CUSIP No. 141743 10 4 |
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other things, to add the Fifth Amendment New Investors
as secured parties (such amended and restated agreements, respectively the “Amended Security Agreement” and the “Amended
IP Security Agreement”).
The Purchase Agreement and the
Fifth Amendment Supplemental Closing Notes also provide that the Company grant registration rights to the Fifth Amendment Investors for
the Common Stock into which the Fifth Amendment Supplemental Closing Notes may be converted and that may be issued upon exercise of the
Fifth Amendment Supplemental Warrants as provided for by that certain Registration Rights Agreement dated as of April 20, 2011 (the “Registration
Rights Agreement”).
Mr. Epstein is one of the Fifth
Amendment New Investors. On the Fifth Amendment Supplemental Closing Date, Mr. Epstein purchased a Senior Secured Convertible Note in
the amount of $250,000 which is immediately convertible into shares of the Company’s Common Stock at a conversion price of $0.52
per share (subject to adjustment as described therein) and has a maturity date of February 16, 2025. In connection therewith, Mr. Epstein
was also issued Fifth Amendment Supplemental Warrants for the purchase of 153,846 shares of the Company’s Common Stock at an exercise
price per share equal to $0.52 (subject to adjustment as described therein). The Fifth Amendment Supplemental Warrants were exercisable
upon issuance and have an expiration date of February 17, 2025.
Senior Secured Convertible
Note due February 2028 and Common Stock Purchase Warrants
On February 23, 2018, the Company
entered into an Eighth Amendment to Note and Warrant Purchase Agreement (the “Eighth Amendment”) with the Fifth Amendment
New Investors (the “Existing Investors”), an additional investor party thereto (such additional investor, the “New Investor”
and, collectively with the Existing Investors, the “Eighth Amendment Investors”) and the HealthCor Parties (solely in their
capacity as the majority holders approving the Eighth Amendment and not as investors), pursuant to which the Company sold and issued,
for an aggregate of $2,050,000 in cash, to the Eighth Amendment Investors on such date (i) additional notes in the initial aggregate
principal amount of $2,050,000, with a conversion price per share equal to $0.05 (subject to adjustment as described therein) and a maturity
date of February 22, 2028 (the “Eighth Amendment Supplemental Closing Notes”) and (ii) additional warrants to purchase
an aggregate of up to 512,500 shares of the Company’s Common Stock at an exercise price per share equal to $0.05 (subject to adjustment
as described therein) and with an expiration date of February 23, 2028 (the “Eighth Amendment Supplemental Warrants”).
The Existing Investors were composed
of all but one of the Company’s directors as well as one of the Company’s officers who is not also a director. Of the total
amount of Eighth Amendment Supplemental Closing Notes and Eighth Amendment Supplemental Warrants issued and sold by the Company pursuant
to the Eighth Amendment, such directors and officer purchased, in aggregate, Eighth Supplemental Closing Notes in the initial aggregate
principal amount of $1,950,000 and Eighth Amendment Supplemental Warrants to purchase an aggregate of up to 487,500 shares of our Common
Stock.
The closing date of the transaction
was February 23, 2018 (the “Eighth Amendment Supplemental Closing Date”). On the Eighth Amendment Supplemental Closing Date,
each of the Eighth Amendment Investors purchased the Eighth Amendment Supplemental Closing Notes and the Eighth Amendment Supplemental
Warrants for cash, payable by wire transfer in same day funds to an account specified by the Company.
The Purchase Agreement and Eighth
Amendment provide that the Company grant to the Eighth Amendment Investors a security interest in the assets of the Company as collateral
for payment of the Eighth Amendment Supplemental Closing Notes, evidenced by the Amended Security Agreement and by the Amended IP Security
Agreement.
The Purchase Agreement and the
Eighth Amendment Supplemental Closing Notes also provide that the Company grant registration rights to the Eighth Amendment Investors
for the Common Stock into which the Eighth Amendment Supplemental Closing Notes may be converted and that may be issued upon exercise
of the Eighth Amendment Supplemental Warrants as provided for by the Registration Rights Agreement.
CUSIP No. 141743 10 4 |
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Mr. Epstein is one of the Existing
Investors. On the Eighth Amendment Supplemental Closing Date, Mr. Epstein purchased a Senior Secured Convertible Note in the amount of
$100,000 which is immediately convertible into shares of the Company’s Common Stock at a conversion price of $0.05 per share (subject
to adjustment as described therein) and has a maturity date of February 22, 2028. In connection therewith, Mr. Epstein was also issued
Eighth Amendment Supplemental Warrants for the purchase of 25,000 shares of the Company’s Common Stock at an exercise price per
share equal to $0.05 (subject to adjustment as described therein). The Eighth Amendment Supplemental Warrants were exercisable upon issuance
and have an expiration date of February 23, 2028.
Senior Secured Convertible Note due July 2028
On July 13, 2018, the Company
entered into a Tenth Amendment to Note and Warrant Purchase Agreement (the “Tenth Amendment”) with the Existing Investors
listed in Annex I to the Tenth Amendment (the “Tenth Amendment Investors”) and the HealthCor Parties (solely in their
capacity as majority holders (acting together with the Tenth Amendment Investors) approving the Tenth Amendment and not as investors),
pursuant to which the Company sold and issued, for an aggregate of $1,000,000 in cash, to the Tenth Amendment Investors on such date additional
notes in the initial aggregate principal amount of $1,000,000, with a conversion price per share equal to $0.05 (subject to adjustment
as described therein) and a maturity date of July 12, 2028 (the “Tenth Amendment Supplemental Closing Notes”). The Tenth Amendment
Investors were composed entirely of the Company’s directors.
The closing date of the transaction
was July 13, 2018 (the “Tenth Amendment Supplemental Closing Date”). On the Tenth Amendment Supplemental Closing Date, each
of the Tenth Amendment Investors purchased the Tenth Amendment Supplemental Closing Notes for cash, payable by wire transfer in same day
funds to an account specified by the Company.
The Purchase Agreement and Tenth
Amendment provide that the Company grant to the Tenth Amendment Investors a security interest in the assets of the Company as collateral
for payment of the Tenth Amendment Supplemental Closing Notes, evidenced by the Amended Security Agreement and by the Amended IP Security
Agreement.
The Purchase Agreement and the
Tenth Amendment Supplemental Closing Notes also provide that the Company grant registration rights to the Tenth Amendment Investors for
the Common Stock into which the Tenth Amendment Supplemental Closing Notes may be converted as provided for by the Registration Rights
Agreement.
Mr. Epstein is one of the Tenth
Amendment Investors. On the Tenth Amendment Supplemental Closing Date, Mr. Epstein purchased a Senior Secured Convertible Note in the
amount of $50,000 which is immediately convertible into shares of the Company’s Common Stock at a conversion price of $0.05 per
share (subject to adjustment as described therein) and has a maturity date of July 12, 2028.
| Item 4. | Purpose of Transaction. |
See Item 3 above.
The Reporting Persons have no plans which relate
to or would result in:
(a)
The acquisition by any person of additional securities of the issuer, or the disposition of securities
of the issuer;
(b)
An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving
the issuer or any of its subsidiaries;
| (c) | A sale or transfer of a material amount of assets of the issuer or of any
of its subsidiaries; |
CUSIP No. 141743 10 4 |
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(d)
Any change in the present board of directors or management of the issuer, including any plans or
proposals to change the number or term of directors or to fill any existing vacancies on the board;
| (e) | Any material change in the present capitalization or dividend policy of
the issuer; |
(f)
Any other material change in the issuer’s business or corporate structure, including but not
limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment
policy for which a vote is required by Section 13 of the Investment Company Act of 1940;
(g)
Changes in the issuer’s charter, bylaws or instruments corresponding thereto or other actions
which may impede the acquisition of control of the issuer by any person;
(h)
Causing a class of securities of the issuer to be delisted from a national securities exchange or
to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;
(i)
A class of equity securities of the issuer becoming eligible for termination of registration pursuant
to Section 12(g)(4) of the Act; or
| (j) | Any action similar to any of those enumerated above. |
| Item 5. | Interest in Securities of the Issuer. |
(a)
Mr. Epstein directly owns 500,000 shares of the Company’s Common Stock. He indirectly owns
1,780,000 shares of the Company’s Common Stock through Epstein Partners, LLC, for which he disclaims ownership to 890,000 shares.
Mr. Epstein directly owns 12,500,000 shares that may be acquired upon conversion of the Fifth Amendment Supplemental Closing Note, the
Eighth Amendment Supplemental Closing Note, and the Tenth Amendment Supplemental Closing Note. Mr. Epstein directly owns Warrants for
the purchase of 178,846 shares and Options for the purchase of 2,251,962 shares exercisable within sixty days, bringing his direct and
indirect ownership to an aggregate of 17,210,808 shares (including the shares that he beneficially disclaims). The percentage of class
for Mr. Epstein is 11.2% and is based on 154,311,556 shares which would be outstanding if all of Mr. Epstein’s Warrants and Options
were exercised and the Fifth Amendment Supplemental Closing Note, the Eighth Amendment Supplemental Closing Note and the Tenth Amendment
Supplemental Closing Note were converted.
(b)
Mr. Epstein has sole power to vote or direct the vote and the power to dispose or to direct the disposition
of the 17,210,808 shares of the Company’s Common Stock owned directly or indirectly by him or to be acquired by him through the
exercise of Warrants and Options and the conversion of the Fifth Amendment Supplemental Closing Note, the Eighth Amendment Supplemental
Closing Note and the Tenth Amendment Supplemental Closing Note.
(c)
Please see Item 3 above for the description of the transactions relative to the shares and derivative
securities acquired by the Reporting Persons.
(d)
The Reporting Persons know of no other person who has the right to receive or the power to direct
the receipt of dividends from, or the proceeds from the sale of, such shares or derivative securities.
CUSIP No. 141743 10 4 |
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| Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of Issuer |
Except as outlined hereinabove,
the Reporting Persons have no contracts, arrangements, understandings or relationships (legal or otherwise) with any person with respect
to any securities of the issuer, including but not limited to transfer or voting of any of the securities, finder’s fees, joint
ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding
of proxies.
| Item 7. | Material to be Filed as Exhibits. |
|
Date of
Document |
Description of Document |
|
09/27/07 |
Securities Exchange Agreement by and between Ecogate, Inc., CareView Communications, Inc., and Shareholders of CareView Communications, Inc.; filed as Exhibit 2.0 to the Company’s Registration Statement on Form 10 filed with the Commission on August 23, 2010 and incorporated herein by reference. |
|
12/03/07 |
Non-Qualified Stock Option, form of; filed as Exhibit 10.10 to the Company’s Registration Statement on Form 10 filed with the Commission on August 23, 2010 and incorporated herein by reference. |
|
09/11/09 |
CareView Communications, Inc. 2009 Stock Incentive Plan; filed as Exhibit 10.42 to the Company’s Registration Statement on Form 10 filed with the Commission on August 23, 2010 and incorporated herein by reference. |
|
03/27/13 |
Securities Purchase Agreement, form of; filed as Exhibit 10.108 to the Company’s Current Report on Form 8-K filed with the Commission on March 28, 2013 and incorporated herein by reference. |
|
12/15/14 |
Fifth Amendment to Note and Warrant Purchase Agreement between the Company and HealthCor; filed as Exhibit 10.22 to the Company’s Current Report on Form 8-K filed with the Commission on December 19, 2014 and incorporated herein by reference. |
|
12/15/14 |
Form of Fifth Amendment Supplemental Closing Note; filed as Exhibit 10.23 to the Company’s Current Report on Form 8-K filed with the Commission on December 19, 2014 and incorporated herein by reference. |
|
12/15/14 |
Form of Fifth Amendment Supplemental Warrant; filed as Exhibit 10.24 to the Company’s Current Report on Form 8-K filed with the Commission on December 19, 2014 and incorporated herein by reference. |
|
02/17/15 |
Form of Amended Pledge and Security Agreement between the Company and HealthCor Partners Fund, LP and HealthCor Hybrid Offshore Master Fund, LP; filed as Exhibit 10.140 to the Company’s Annual Report on Form 10-K filed with the Commission on March 31, 2015 and incorporated herein by reference. |
|
02/17/15 |
Form of Amended Intellectual Property Security Agreement between the Company and HealthCor Partners Fund, LP and HealthCor Hybrid Offshore Master Fund, LP; filed as Exhibit 10.141 to the Company’s Annual Report on Form 10-K filed with the Commission on March 31, 2015 and incorporated herein by reference. |
|
12/07/16 |
CareView Communications, Inc. 2016 Stock Incentive Plan; filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the Commission on January 9, 2017 and incorporated herein by reference. |
|
02/23/18 |
Eighth Amendment to Note and Warrant Purchase Agreement, among the Company, HealthCor Partners Fund, LP, HealthCor Hybrid Offshore Master Fund, LP and the investors party thereto; filed as Exhibit 10.34 to the Company’s Current Report on Form 8-K filed with the Commission on February 26, 2018 and incorporated herein by reference. |
|
02/23/18 |
Form of Eighth Amendment Supplemental Closing Note; filed as Exhibit 10.35 to the Company’s Current Report on Form 8-K filed with the Commission on February 26, 2018 and incorporated herein by reference. |
CUSIP No. 141743 10 4 |
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|
02/23/18 |
Form of Eighth Amendment Supplemental Warrant; filed as Exhibit 10.36 to the Company’s Current Report on Form 8-K filed with the Commission on February 26, 2018 and incorporated herein by reference. |
|
07/13/18 |
Tenth Amendment to Note and Warrant Purchase Agreement, among the Company, HealthCor Partners Fund, L.P., HealthCor Hybrid Offshore Master Fund, L.P. and the investors party thereto; filed as Exhibit 10.53 to the Company’s Current Report on Form 8-K filed with the Commission on July 16, 2018 and incorporated herein by reference. |
|
07/13/18 |
Form of Tenth Amendment Supplemental Closing Note; filed as Exhibit 10.54 to the Company’s Current Report on Form 8-K filed with the Commission on July 16, 2018 and incorporated herein by reference. |
|
05/15/19 |
Fourteenth Amendment to Modification Agreement, by and among the Company, CareView Communications, Inc., a Texas corporation, CareView Operations, L.L.C., a Texas limited liability company, and PDL Investment Holdings, LLC; filed as Exhibit 10.32 to the Company's Current Report on Form 8-K filed with the Commission on May 20, 2019 and incorporated herein by reference. |
|
05/15/19 |
Twelfth Amendment to Note and Warrant Purchase Agreement, among the Company, HealthCor Partners Fund, L.P., HealthCor Hybrid Offshore Master Fund, L.P. and the investors party thereto; filed as Exhibit 10.33 to the Company’s Current Report on Form 8-K filed with the Commission on May 20, 2019 and incorporated herein by reference. |
|
05/15/19 |
Form of Twelfth Amendment Supplemental Closing Note; filed as Exhibit 10.34 to the Company’s Current Report on Form 8-K filed with the Commission on May 20, 2019 and incorporated herein by reference. |
|
05/15/19 |
Fifth Amendment to Credit Agreement, by and among the Company, CareView Communications, Inc., a Texas corporation, PDL Investment Holdings, LLC, and Investors; filed as Exhibit 10.35 to the Company’s Current Report on Form 8-K filed with the Commission on May 20, 2019 and incorporated herein by reference. |
|
05/15/19 |
Form of Tranche Three Term Note; filed as Exhibit 10.36 to the Company’s Current Report on Form 8-K with the Commission on May 20, 2019 and incorporated herein by reference. |
|
05/15/19 |
Form of Tranche Three Loan Warrant; filed as Exhibit 10.37 to the Company’s Current Report on Form 8-K filed with the Commission on May 20, 2019 and incorporated herein by reference. |
|
02/06/20 |
Thirteenth Amendment to Note and Warrant Purchase Agreement, among the Company, HealthCor Partners Fund, L.P., HealthCor Hybrid Offshore Master Fund, L.P. and the investors party thereto; filed as Exhibit 10.43 to the Company’s Current Report on Form 8-K filed with the Commission on February 10, 2020 and incorporated herein by reference. |
|
02/06/20 |
Thirteenth Amendment Supplemental Closing Note; filed as Exhibit 10.44 to the Company’s Current Report on Form 8-K filed with the Commission on February 10, 2020 and incorporated herein by reference. |
|
02/06/20 |
Sixth Amendment to Credit Agreement, by and among the Company, CareView Communications, Inc., a Texas corporation, PDL Investment Holdings, LLLC and investors party thereto; filed as Exhibit 10.45 to the Company’s Current Report on Form 8-K filed with the Commission on February 10, 2020 and incorporated herein by reference. |
|
02/06/20 |
Form of Additional Tranche Three Term Note; filed as Exhibit 10.46 to the Company’s Current Report on Form 8-K filed with the Commission on February 10, 2020 and incorporated herein by reference. |
|
02/06/20 |
Additional Tranche Three Loan Warrant; filed as Exhibit 10.47 to the Company’s Current Report on Form 8-K filed with the Commission on February 10, 2020 and incorporated herein by reference. |
|
11/14/22 |
Securities Purchase Agreement, filed as Exhibit 10.0 to the Company’s Current Report on Form 8-K filed with the Commission on November 18, 2022 and incorporated herein by reference. |
CUSIP No. 141743 10 4 |
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SIGNATURE
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.
Dated: |
November 21, 2022 |
|
By: |
/s/ Steven Epstein |
|
|
|
|
Steven Epstein |