SEC Form 4 · accession 0000899243-19-001414
electroCore, Inc. · ECOR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph P Errico
Officer — See Remarks · Director · 10% Owner
Period of report
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 8:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001560258
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 15, 2019 | S | 22,349 | $4.90 | D | 610,000 | D | |
| Common StockF1,F3 | Jan 16, 2019 | S | 19,810 | $4.89 | D | 590,190 | D | |
| Common StockF1,F4 | Jan 17, 2019 | S | 7,841 | $4.84 | D | 582,349 | D | |
| Common Stock | holding | — | — | — | 69,444 | I | Via Errico 2010 Dynasty Trust | |
| Common Stock | holding | — | — | — | 55,729 | I | Via children | |
| Common Stock | holding | — | — | — | 111,318 | I | Via Core Ventures 2010, LLC | |
| Common Stock | holding | — | — | — | 50,498 | I | Via 2010 Core Investment Partners, LLC | |
| Common Stock | holding | — | — | — | 419,789 | I | Via Core Ventures II, LLC | |
| Common Stock | holding | — | — | — | 15,576 | I | Via Core Ventures IV, LLC | |
| Common Stock | holding | — | — | — | 25,473 | I | Via ECNG, LLC | |
| Common Stock | holding | — | — | — | 382,607 | I | Via NeuroCore Investment Partners, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold pursuant to the Reporting Person's written trading plan pursuant to Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.70 to $5.11 per share. The Reporting Person undertakes to provide to electroCore, Inc., any security holder of electroCore, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased by it at each separate price on January 15, 2019.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.81 to $4.97 per share. The Reporting Person undertakes to provide to electroCore, Inc., any security holder of electroCore, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased by it at each separate price on January 16, 2019.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.68 to $4.95 per share. The Reporting Person undertakes to provide to electroCore, Inc., any security holder of electroCore, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased by it at each separate price on January 17, 2019.
Remarks
Chief Science & Strategy Officer