SEC Form 4 · accession 0001213900-18-007758
Ener-Core, Inc. · ENCR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Hammons
Director
Period of report
Jun 5, 2018
Accepted (ET)
Jun 15, 2018 · 6:34 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 | $0.25 | Jun 5, 2018 | P | — | A | Jun 5, 2018 | Dec 31, 2018 | Common Stock | 111,111 | — | D |
| Warrant to Purchase Common StockF1 | $0.30 | Jun 5, 2018 | P | 55,556 | A | Jun 5, 2018 | Jun 5, 2023 | Common Stock | 55,556 | 55,556 | D |
Explanation of responses
- F1On June 5, 2018, 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 $0.25 per share and (ii) a five-year warrant to purchase an aggregate of 55,556 shares of the Company's common stock at an exercise price of $0.30 per share.