0001193805-23-001067.txt : 20230803 0001193805-23-001067.hdr.sgml : 20230803 20230803153131 ACCESSION NUMBER: 0001193805-23-001067 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230802 FILED AS OF DATE: 20230803 DATE AS OF CHANGE: 20230803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldberger Daniel S CENTRAL INDEX KEY: 0001382042 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38538 FILM NUMBER: 231139616 MAIL ADDRESS: STREET 1: 24 CARPENTER ROAD CITY: CHESTER STATE: NY ZIP: 10918 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: electroCore, Inc. CENTRAL INDEX KEY: 0001560258 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 203454976 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 FORGE WAY STREET 2: SUITE 205 CITY: ROCKAWAY STATE: NJ ZIP: 07866 BUSINESS PHONE: 973-290-0097 MAIL ADDRESS: STREET 1: 200 FORGE WAY STREET 2: SUITE 205 CITY: ROCKAWAY STATE: NJ ZIP: 07866 FORMER COMPANY: FORMER CONFORMED NAME: ElectroCore, LLC DATE OF NAME CHANGE: 20121012 4 1 e618828_4-goldberger.xml X0508 4 2023-08-02 0 0001560258 electroCore, Inc. ECOR 0001382042 Goldberger Daniel S 200 FORGE WAY, SUITE 205 ROCKAWAY NJ 07866 1 1 0 0 Chief Executive Officer 0 Common Stock 2023-08-02 4 P 0 50991 4.35 A 84560 D Warrants to Purchase Common Stock 4.35 2023-08-02 4 P 0 25495 0.0625 A 2024-02-02 2029-02-02 Common Stock 25495 25495 D On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 50,991 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 $4.4125 per Unit, inclusive of $4.35 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 exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date. Includes 10,752 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 3,584 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023. /s/ John L. Cleary, II, attorney-in-fact 2023-08-03