Statement of Ownership (sc 13g)
12 Julho 2021 - 5:59PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under
the Securities Exchange Act of 1934
(Amendment
No. )*
electroCore,
Inc.
|
(Name
of Issuer)
|
|
Common
Stock
|
(Title
of Class of Securities)
|
|
28531P103
|
(CUSIP
Number)
|
|
June
30, 2021
|
(Date
of Event Which Requires Filing of this Statement)
|
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
|
☐
|
Rule
13d-1(b)
|
|
|
|
|
☒
|
Rule
13d-1(c)
|
|
|
|
|
☐
|
Rule
13d-1(d)
|
*
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover
page.
The
information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18
of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
1
|
NAME
OF REPORTING PERSONS
Altium Capital Management, LP
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2066653
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
5,000,000
shares of Common Stock
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
5,000,000
shares of Common Stock
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,000,000
shares of Common Stock
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.5%(1)
|
|
12
|
TYPE
OF REPORTING PERSON
IA,
PN
|
|
|
|
|
|
|
(1)
Based on 66,492,777 shares of Common Stock outstanding as of June 29, 2021 as set forth in the Issuer’s Form 424B5 filed with
the Securities and Exchange Commission on June 30, 2021.
|
1
|
NAME
OF REPORTING PERSONS
Altium Growth Fund, LP
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2105101
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
5,000,000
shares of Common Stock
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
5,000,000
shares of Common Stock
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,000,000
shares of Common Stock
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.5%
(1)
|
|
12
|
TYPE
OF REPORTING PERSON
PN
|
|
|
|
|
|
|
(1)
Based on 66,492,777 shares of Common Stock outstanding as of June 29, 2021 as set forth in the Issuer’s Form 424B5 filed with
the Securities and Exchange Commission on June 30, 2021.
1
|
NAME
OF REPORTING PERSONS
Altium Growth GP, LLC
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2086430
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
5,000,000
shares of Common Stock
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
5,000,000
shares of Common Stock
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,000,000
shares of Common Stock
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.5%
(1)
|
|
12
|
TYPE
OF REPORTING PERSON
OO
|
|
|
|
|
|
|
(1)
Based on 66,492,777 shares of Common Stock outstanding as of June 29, 2021 as set forth in the Issuer’s Form 424B5 filed with the
Securities and Exchange Commission on June 30, 2021.
Item
1(a).
|
|
Name of Issuer:
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electroCore, Inc. (the “Issuer”)
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Item
1(b).
|
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Address of Issuer’s Principal Executive Offices:
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200 Forge Way, Suite 205, Rockaway, New Jersey 07866
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Item
2(a).
|
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Name
of Person Filing:
This
statement is jointly filed by and on behalf of each of Altium Growth Fund, LP (the “Fund”), Altium Capital Management,
LLC, and Altium Growth GP, LLC. The Fund is the record and direct beneficial owner of the securities covered by this statement. Altium
Capital Management, LP is the investment adviser of, and may be deemed to beneficially own securities, owned by, the Fund. Altium
Growth GP, LLC is the general partner of, and may be deemed to beneficially own securities owned by, the Fund.
Each
reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such
person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, the beneficial owner of any securities covered
by this statement.
Each
of the reporting persons may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for the purposes
of Section 13(d) or 13(g) of the Act. Each of the reporting persons declares that neither the filing of this statement nor anything
herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other
purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate,
or other group for the purpose of acquiring, holding, or disposing of securities of the Issuer or otherwise with respect to the Issuer
or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
|
|
|
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Item
2(b).
|
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Address
of Principal Business Office or, if None, Residence:
|
|
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The
address of the principal business office of each of the reporting persons is
152 West 57th Street, FL 20, New York, NY 10019
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|
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Item
2(c).
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Citizenship:
|
|
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See
Item 4 on the cover page(s) hereto.
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Item
2(d).
|
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Title
of Class of Securities:
|
|
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Common
Stock, par value $0.001 per share (“Common Stock”)
|
|
|
|
Item
2(e).
|
|
CUSIP
Number: 28531P103
|
Item
3.
|
If
This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a:
|
|
|
|
(a)
|
☐
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Broker
or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
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(b)
|
☐
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Bank
as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
|
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(c)
|
☐
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Insurance
company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
|
|
|
|
|
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(d)
|
☐
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Investment
company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
|
|
|
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(e)
|
☐
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An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
|
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(f)
|
☐
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An employee
benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
|
|
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(g)
|
☐
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A parent holding company
or control person in accordance with §240.13d-1(b)(ii)(G);
|
|
|
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(h)
|
☐
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A savings association
as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
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(i)
|
☐
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A church plan that is
excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
|
|
|
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(j)
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☐
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Group, in accordance with
§240.13d-1(b)(1)(ii)(J).
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Item 4.
|
Ownership.
|
|
Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item
1.
The
information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth in Rows
5 – 11 of the cover page for each Reporting Person listed above and is incorporated by reference for each such Reporting Person.
The percentage set forth in Row 11 of the cover page for each Reporting Person is based on 66,492,777 shares of Common Stock outstanding
as of June 29, 2021 as set forth in the Issuer’s Form 424B5 filed with the Securities and Exchange Commission on June 30, 2021.
|
Item 5.
|
Ownership
of Five Percent or Less of a Class.
|
|
|
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If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the following ☐
|
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Item 6.
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Ownership of More than
Five Percent on Behalf of Another Person.
|
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Not applicable
|
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Item 7.
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Identification and
Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
|
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Not applicable
|
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Item 8.
|
Identification and
Classification of Members of the Group.
|
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Not applicable
|
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|
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Item 9.
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Notice of Dissolution
of Group.
|
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Not applicable
|
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Item 10.
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Certification.
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired
and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely
in connection with a nomination under § 240.14a-11.
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
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Dated:
|
July 7, 2021
|
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Altium Capital Management, LP
|
|
|
|
|
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By:
|
/s/ Jacob Gottlieb
|
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Name:
|
Jacob Gottlieb
|
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Title:
|
CEO
|
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Altium Growth Fund, LP
|
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By:
Altium Growth GP, LLC
|
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Its: General Partner
|
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Signature:
|
/s/
Jacob Gottlieb
|
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Name:
|
Jacob Gottlieb
|
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Title:
|
Managing Member of Altium
Growth GP, LLC
|
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|
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|
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Altium Growth GP, LLC
|
|
|
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By:
|
/s/
Jacob Gottlieb
|
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Name:
|
Jacob Gottlieb
|
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Title:
|
Managing Member
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EXHIBIT
INDEX
EXHIBIT 1:
|
Joint Acquisition Statement Pursuant to Section 240.13d-1(k)
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Members of Group
|
electroCore (NASDAQ:ECOR)
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