Statement of Changes in Beneficial Ownership (4)
03 Outubro 2019 - 6:15PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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Goldberger Daniel S |
2. Issuer Name and Ticker or Trading Symbol
electroCore, Inc.
[
ECOR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer
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(Last)
(First)
(Middle)
150 ALLEN ROAD, SUITE 201 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2019
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(Street)
BASKING RIDGE, NJ 07920
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Restricted Stock Units
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$0.00
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10/1/2019
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A
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215053
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(1)
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10/1/2029
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Common Stock
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215053
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$0.00
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215053
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D
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Stock Option
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$1.86
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10/1/2019
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A
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764331
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(2)
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10/1/2029
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Common Stock
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764331
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$0.00
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764331
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D
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Explanation of Responses:
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(1)
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Represents a grant of restricted stock units of the Issuer. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Issuer common stock. Subject to accelerated vesting in certain circumstances, one-fourth of the restricted stock units are scheduled to vest on each of the first four anniversaries of the Start Date (as defined in the Offer Letter, dated September 26, 2019, between the Reporting Person and the Issuer), as long as the Reporting Person remains in the service of the Issuer through the respective vesting date.
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(2)
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Subject to accelerated vesting in certain circumstances, one-fourth of the option is scheduled to vest on each of the first four anniversaries of the Start Date, as long as the Reporting Person remains in the service of the Issuer through the respective 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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Goldberger Daniel S 150 ALLEN ROAD, SUITE 201 BASKING RIDGE, NJ 07920
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X
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Chief Executive Officer
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Signatures
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/s/ Daniel Goldberger
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10/3/2019
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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 4(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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electroCore (NASDAQ:ECOR)
Gráfico Histórico do Ativo
De Jun 2024 até Jul 2024
electroCore (NASDAQ:ECOR)
Gráfico Histórico do Ativo
De Jul 2023 até Jul 2024
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