SEC Form 4 · accession 0001213900-18-003542
Ener-Core, Inc. · ENCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Domonic J. Carney
Officer — Chief Financial Officer
Period of report
Mar 26, 2018
Accepted (ET)
Mar 27, 2018 · 6:19 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 | Mar 26, 2018 | P | — | A | Mar 26, 2018 | Dec 31, 2018 | Common Stock | 16,000 | — | D |
| Warrant to Purchase Common StockF1 | $1.50 | Mar 26, 2018 | P | 16,000 | A | Mar 26, 2018 | Mar 26, 2023 | Common Stock | 16,000 | 16,000 | D |
Explanation of responses
- F1On March 26, 2018, the reporting person acquired directly in a private placement (i) a convertible senior secured promissory note in principal amount of $40,000, 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 16,000 shares of the Company's common stock at an exercise price of $1.50 per share.