EPSTEIN STEVEN B 4

4 · CareView Communications Inc · Filed Jan 4, 2023

Form 4

Period: 2022-12-30

Director

Transactions

Disposition to Issuer
Secured Convertible Note
2022-12-30→ 0 total
Exercise: $0.05Exp: 2028-07-10→ Common Stock (1,531,919 underlying)
Disposition to Issuer
Secured Convertible Note
2022-12-30→ 0 total
Exercise: $0.05Exp: 2028-02-22→ Common Stock (3,212,806 underlying)
Award
Secured Convertible Note
2022-12-30
Exercise: $0.10Exp: 2023-12-31→ Common Stock (25,000 underlying)
Award
Secured Convertible Note
2022-12-30
Exercise: $0.10Exp: 2023-12-31→ Common Stock (5,000 underlying)
Disposition to Issuer
Secured Convertible Note
2022-12-30→ 0 total(indirect: Stephen B. and Deborah L. Epstein)
Exercise: $0.52Exp: 2025-02-16→ Common Stock (1,070,069 underlying)
Award
Secured Convertible Note
2022-12-30
Exercise: $0.10Exp: 2023-12-31→ Common Stock (10,000 underlying)

Footnotes (3)

[F1]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, with an aggregate principal balance of $783,672, for replacement notes in the indicated principal amounts with a conversion price of $0.10 per share. At the time, the reporting persons surrendered for cancellation all outstanding warrants held by them representing an aggregate of 178,846 shares, for no value, the reporting of which is exempt under Rule 16a-4(d) of the Exchange Act.
[F2]Immediately exercisable.
[F3]See footnote (1).

Documents

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