Statement of Changes in Beneficial Ownership (4)
November 26 2019 - 5:42PM
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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3235-0287
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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
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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)
150 ALLEN ROAD, SUITE 201 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/22/2019 |
(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 | 11/22/2019 | | P | | 4984 | A | $1.43 (1) | 163824 | D | |
Common Stock | | | | | | | | 98918 | I | via Tullis Opportunity Fund II LP |
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 HOS 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) | The price reported in Column 4 is an average price. These shares were acquired in multiple transactions at prices ranging from $1.42 to $1.44 per share. The Reporting Person undertakes to provide to electroCore, Inc., any security holder of electroCore, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price on the Transaction Date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TULLIS JAMES L L 150 ALLEN ROAD, SUITE 201 BASKING RIDGE, NJ 07920 | X |
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Signatures
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/s/ John L. Cleary, II, attorney-in-fact | | 11/26/2019 |
**Signature of Reporting Person | Date |
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