SEC Form 4/A · accession 0001213900-17-011274
Ener-Core, Inc. · ENCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Domonic J. Carney
Officer — Chief Financial Officer
Period of report
Sep 19, 2017
Accepted (ET)
Nov 2, 2017 · 5:03 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 | 11,111 | — | 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 $27,778, 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
Remarks
This amendment on Form 4 is filed to correct the principal amount of the convertible senior secured promissory note and the number of shares of the Company's common stock into which such convertible senior secured promissory note may convert in Table II.