Statement of Changes in Beneficial Ownership (4)
April 16 2020 - 3:24PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
TULLIS JAMES L L |
2. Issuer Name and Ticker or Trading Symbol
electroCore, Inc.
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ECOR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ELECTROCORE, INC., 150 ALLEN ROAD, SUITE 201 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/14/2020 |
(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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Common Stock | 4/14/2020 | | P | | 1764705 (1) | A | $0.85 (1) | 1764705 | I | via Tullis Growth Fund II, L.P. (2) |
Common Stock | | | | | | | | 172504 | D | |
Common Stock | | | | | | | | 8183 | I | via Spouse |
Common Stock | | | | | | | | 7533 | I | via Sara Tullis Wester Trust |
Common Stock | | | | | | | | 12304 | I | via John L Tullis Trust |
Common Stock | | | | | | | | 12304 | I | via Elizabeth Tullis Trust |
Common Stock | | | | | | | | 15380 | I | via Linda Tullis Family Trust |
Common Stock | | | | | | | | 8893 | I | via HPS Tullis Trust |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Pursuant to the Securities Purchase Agreement dated as of April 14, 2020 (the "SPA"), by and between the Issuer and each purchaser thereto, including Tullis Growth Fund II, L.P. |
(2) | The shares were purchased pursuant to the SPA by Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis Growth Partners II, LLC is the general partner of Tullis Growth II and may be deemed to beneficially own the shares held by Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis Growth II. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TULLIS JAMES L L C/O ELECTROCORE, INC. 150 ALLEN ROAD, SUITE 201 BASKING RIDGE, NJ 07920 | X |
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Signatures
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/s/ James L.L. Tullis | | 4/16/2020 |
**Signature of Reporting Person | Date |
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