0001193805-23-001088.txt : 20230804 0001193805-23-001088.hdr.sgml : 20230804 20230804104732 ACCESSION NUMBER: 0001193805-23-001088 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230802 FILED AS OF DATE: 20230804 DATE AS OF CHANGE: 20230804 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldstein Julie Ann CENTRAL INDEX KEY: 0001917358 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38538 FILM NUMBER: 231142631 MAIL ADDRESS: STREET 1: 205 FORGE WAY CITY: ROCKAWAY STATE: NJ ZIP: 07866 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 e618834_4-goldstein.xml X0508 4 2023-08-02 0 0001560258 electroCore, Inc. ECOR 0001917358 Goldstein Julie Ann 200 FORGE WAY, SUITE 205 ROCKAWAY NJ 07866 1 0 0 0 0 Common Stock 2023-08-02 4 A 0 33994 4.35 A 69679 D Warrants to Purchase Common Stock 4.35 2023-08-02 4 P 0 16997 0.0625 A 2024-02-02 2029-02-02 Common Stock 16997 16997 D On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 33,994 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 4,444 shares that have vested pursuant to previously issued Deferred Stock Units; 5,556 of shares will vest monthly through March 15, 2025. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant. 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. /s/ Ira Kotel, attorney-in-fact 2023-08-04