SEC Form 4 · accession 0001213900-18-000982

Ener-Core, Inc. · ENCR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Jan 25, 2018

Accepted (ET)

Jan 29, 2018 · 4:02 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.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Convertible Senior Secured Note due 2018^F1	$2.50	Jan 25, 2018	P	—	A	Jan 25, 2018	Dec 31, 2018	Common Stock	4,444	—	D
Warrant to Purchase Common Stock^F1	$1.50	Jan 25, 2018	P	4,444	A	Jan 25, 2018	Jan 25, 2023	Common Stock	4,444	4,444	D
Convertible Senior Secured Note due 2018^F2	$2.50	Dec 20, 2017	L	—	A	Dec 20, 2017	Dec 31, 2018	Common Stock	3,333	—	D
Warrant to Purchase Common Stock^F2	$1.50	Dec 20, 2017	L	3,333	A	Dec 20, 2017	Dec 20, 2022	Common Stock	3,333	3,333	D

F1On January 25, 2018, the reporting person acquired directly in a private placement (i) a convertible senior secured promissory note in principal amount of $11,111, 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 4,444 shares of the Company's common stock at an exercise price of $1.50 per share.
F2On December 20, 2017, the reporting person acquired directly in a private placement (i) a convertible senior secured promissory note in principal amount of $8,333, 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 3,333 shares of the Company's common stock at an exercise price of $1.50 per share.