SEC Form 4 · accession 0001213900-16-019191
Ener-Core, Inc. · ENCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alain J Castro
Officer — Chief Executive Officer · Director
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 8:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495536
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Senior Secured Note due 2018F1 | $2.50 | Dec 2, 2016 | P | — | A | Dec 2, 2016 | Dec 31, 2018 | Common Stock | 11,200 | — | D |
| Warrant to Purchase Common StockF1 | $3.00 | Dec 2, 2016 | P | 11,200 | A | Dec 2, 2016 | Dec 2, 2021 | Common Stock | 11,200 | 11,200 | D |
Explanation of responses
- F1On December 2, 2016, the reporting person acquired directly in a private placement (i) a convertible senior secured promissory note in principal amount of $28,000, convertible into shares of the Company's common stock at an initial conversion price of $2.50 per share, and (ii) a five-year warrant to purchase an aggregate of 11,200 shares of the Company's common stock at an exercise price of $3.00 per share.