SEC Form 3 · accession 0001209191-18-039098
electroCore, Inc. · ECOR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L L Tullis
Director
Period of report
Jun 21, 2018
Accepted (ET)
Jun 21, 2018 · 9:45 pm EDT
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 Stock | holding | — | — | — | 111,227 | D | ||
| Common Stock | holding | — | — | — | 98,918 | I | via Tullis Opportunity Fund II LP | |
| Common Stock | holding | — | — | — | 8,183 | I | Via Spouse | |
| Common Stock | holding | — | — | — | 7,533 | I | via Sara Tullis Wester Trust | |
| Common Stock | holding | — | — | — | 12,304 | I | via John L Tullis Trust | |
| Common Stock | holding | — | — | — | 12,304 | I | via Elizabeth Tullis Trust | |
| Common Stock | holding | — | — | — | 15,380 | I | via Linda Tullis Family Trust | |
| Common Stock | holding | — | — | — | 8,893 | I | via HOS Tullis Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $15.00 | holding | — | — | — | Jan 1, 2019 | Jun 22, 2028 | Common Stock | 163 | — | D |
Explanation of responses
- F125% of the options vest on January 1, 2019, and the balance of the remaining options vest in quarterly installments over the next three years.