SEC Form 4 · accession 0001213900-17-009870
Ener-Core, Inc. · ENCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Domonic J. Carney
Officer — Chief Financial Officer
Period of report
Sep 19, 2017
Accepted (ET)
Sep 20, 2017 · 9:04 pm EDT
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 | Sep 19, 2017 | P | — | A | Sep 19, 2017 | Dec 31, 2018 | Common Stock | 10,000 | — | D |
| Warrant to Purchase Common StockF1 | $1.50 | Sep 19, 2017 | P | 11,111 | A | Sep 19, 2017 | Sep 19, 2022 | Common Stock | 11,111 | 11,111 | D |
Explanation of responses
- F1On September 19, 2017, the reporting person acquired directly in a private placement (i) a convertible senior secured promissory note in principal amount of $25,000, 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 11,111 shares of the Company's common stock at an exercise price of $1.50 per share