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electroCore, Inc. — Director's Dealing 2024
Jun 6, 2024
34720_dirs_2024-06-06_20069cf6-1e4d-47a3-9640-c2a24709692d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: electroCore, Inc. (ECOR)
CIK: 0001560258
Period of Report: 2024-06-05
Reporting Person: Goldstein Julie Ann (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-06-05 | Common Stock | A | 7701 | $6.43 | Acquired | 77380 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-06-05 | Warrants to Purchase Common Stock | $6.43 | P | 3850 | Acquired | 2029-06-05 | Common Stock (3850) | Direct |
Footnotes
F1: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 7,701 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.
F2: Includes 7,500 shares that have vested pursuant to previously issued Deferred Stock Units; 2,500 of such shares will vest monthly through March 15, 2025,
provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested
shares were previously reported on Form 4 filings at the time of grant.
F3: Includes 1,665 shares held in NeuroSpine Ventures; an entity in which the Reporting Person has no voting or dispositive power over the shares. Accordingly, the Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.