SEC Form 3 · accession 0001213900-18-003427
Ener-Core, Inc. · ENCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tsan San Mok
10% Owner
Period of report
Mar 15, 2018
Accepted (ET)
Mar 26, 2018 · 2:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495536
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 696,056 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Unsecured NoteF1 | $2.50 | holding | — | — | — | Sep 1, 2016 | — | Common Stock | 200,000 | — | D |
| Warrant to Purchase Common Stock | $3.00 | holding | — | — | — | Sep 1, 2016 | Sep 1, 2021 | Common Stock | 50,000 | — | D |
| Warrant to Purchase Common Stock | $3.00 | holding | — | — | — | Nov 1, 2016 | Nov 1, 2021 | Common Stock | 25,000 | — | D |
| Warrant to Purchase Common Stock | $3.00 | holding | — | — | — | Dec 1, 2016 | Dec 1, 2021 | Common Stock | 25,000 | — | D |
| Warrant to Purchase Common Stock | $3.00 | holding | — | — | — | Jan 30, 2017 | Jan 30, 2022 | Common Stock | 25,000 | — | D |
| Warrant to Purchase Common Stock | $3.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2022 | Common Stock | 25,000 | — | D |
Explanation of responses
- F1The Convertible Unsecured Note matures and ceases to be convertible 91 days after the maturity date of the Company's Senior Secured Notes, which currently mature December 31, 2018.