Initial Statement of Beneficial Ownership (3)
03 Abril 2019 - 6:18PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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POSNER BRIAN M
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2019
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3. Issuer Name
and
Ticker or Trading Symbol
electroCore, Inc. [ECOR]
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(Last)
(First)
(Middle)
150 ALLEN ROAD, SUITE 201
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer /
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(Street)
BASKING RIDGE, NJ 07920
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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3/11/2020
(1)
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3/11/2029
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Common Stock
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105000
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$8.06
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D
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Explanation of Responses:
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(1)
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On April 1, 2019, the Reporting Person assumed the role of Chief Financial Officer of the Company. Pursuant to the Agreement by and between the Reporting Person and the Issuer dated as of January 30, 2019, the Reporting Person received a one-time grant of a stock option to purchase 105,000 shares of the Company's Common Stock, with 25% of the options vesting on March 11, 2020 and the balance vesting in equal quarterly installments over the succeeding three year period, subject to the Reporting Person's employment by the Issuer on the applicable vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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POSNER BRIAN M
150 ALLEN ROAD, SUITE 201
BASKING RIDGE, NJ 07920
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Chief Financial Officer
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Signatures
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/s/ Brian Posner
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4/2/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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