0000908834-24-000005.txt : 20240103
0000908834-24-000005.hdr.sgml : 20240103
20240103161630
ACCESSION NUMBER: 0000908834-24-000005
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240101
FILED AS OF DATE: 20240103
DATE AS OF CHANGE: 20240103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Theofilos Charles Steve
CENTRAL INDEX KEY: 0002003243
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38538
FILM NUMBER: 24506623
MAIL ADDRESS:
STREET 1: 300 VILLAGE SQUARE XING
STREET 2: SUITE 102
CITY: PALM BEACH
STATE: FL
ZIP: 33410
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: electroCore, Inc.
CENTRAL INDEX KEY: 0001560258
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
ORGANIZATION NAME: 08 Industrial Applications and Services
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
form4.xml
X0508
4
2024-01-01
0001560258
electroCore, Inc.
ECOR
0002003243
Theofilos Charles Steve
300 VILLAGE SQUARE XING
SUITE 102
PALM BEACH GARDENS
FL
33410
true
false
Common Stock
2024-01-01
4
A
0
25210
0
A
437620
D
Common Stock
153168
I
By spouse
Common Stock
790
I
By spouse
Common Stock
6142
I
By spouse
Common Stock
8556
I
By spouse
Common Stock Warrants (right to buy)
Common Stock
283285
283285
I
By spouse
Prefunded Common Stock Warrants (right to buy)
Common Stock
113314
113314
I
By spouse
Represents a grant of Deferred Stock Units which vest (i) in 12 equal monthly installments commencing on the three-month anniversary of the grant date and (ii) in full on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.
These shares are held by Happy Holstein, LLLP, a Florida limited liability limited partnership, of which Happy Holstein Management, LLC is the general partner, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The filing of this Form 3 shall not be deemed an admission that the reporting person is the beneficial owner of these shares of common stock.
These shares are held by MCKT, LLC, a Florida limited liability company of which Kathryn Theofilos, the reporting person's spouse, is the manager. The filing of this Form 3 shall not be deemed an admission that the reporting person is the beneficial owner of these shares of common
stock.
These shares are held by the reporting person's adult children, over which Kathryn Theofilos, the reporting person's spouse, shares voting and dispositive power. The filing of this Form 3 shall not be deemed an admission that the reporting person is the beneficial owner of these shares of
common stock.
The filing of this Form 3 shall not be deemed an admission that the reporting person is the beneficial owner of these shares of common stock.
The holder of the common stock warrants is Happy Holstein Management, LLC, of which Kathryn Theofilos, the reporting person's spouse, is the manager. These warrants will become exercisable on February 2, 2024 and will expire on February 2, 2029, subject to the Beneficial Ownership Limitation (as defined below). Pursuant to the terms of the warrants, the warrants may not be exercised if the holder, together with its affiliates and any persons who are members of a Section 13(d) group with the holder, would beneficially own more than 9.99% of the number of shares of common stock outstanding immediately after giving effect to such exercise (the "Beneficial Ownership Limitation"). The filing of this Form 3 shall not be deemed an admission that the reporting person is the beneficial owner of these common stock warrants.
The holder of the prefunded common stock warrants is Happy Holstein Management, LLC, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The prefunded common stock warrants are immediately exercisable and will expire on the date they are exercised in full, subject to the Beneficial Ownership Limitation. The filing of this Form 3 shall not be deemed an admission that the reporting person is the beneficial owner of these prefunded common stock warrants.
/s/ Charles Steve Theofilos
2024-01-03