0001193805-23-001086.txt : 20230804 0001193805-23-001086.hdr.sgml : 20230804 20230804104538 ACCESSION NUMBER: 0001193805-23-001086 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: PATTON THOMAS M CENTRAL INDEX KEY: 0001310306 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38538 FILM NUMBER: 231142624 MAIL ADDRESS: STREET 1: C/O OSTEOTCH INC., 51 JAMES WAY CITY: EATONTOWN STATE: NJ ZIP: 07724 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 e618832_4-patton.xml X0508 4 2023-08-02 0 0001560258 electroCore, Inc. ECOR 0001310306 PATTON THOMAS M 200 FORGE WAY, SUITE 205 ROCKAWAY NJ 07866 1 0 0 0 0 Common Stock 2023-08-02 4 A 0 11049 4.35 A 37748 D Warrants to Purchase Common Stock 4.35 2023-08-02 4 P 0 5524 0.0625 A 2024-02-02 2029-02-02 Common Stock 5524 5524 D On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 11,049 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 12,967 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. Includes 13,732 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. /s/ John L. Cleary, II, attorney-in-fact 2023-08-04