0001213900-18-007758.txt : 20180615
0001213900-18-007758.hdr.sgml : 20180615
20180615183400
ACCESSION NUMBER: 0001213900-18-007758
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180605
FILED AS OF DATE: 20180615
DATE AS OF CHANGE: 20180615
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HAMMONS MICHAEL J
CENTRAL INDEX KEY: 0001580499
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37642
FILM NUMBER: 18903349
MAIL ADDRESS:
STREET 1: 3161 MICHELSON DRIVE
STREET 2: SUITE 750
CITY: IRVINE
STATE: CA
ZIP: 92612
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Ener-Core, Inc.
CENTRAL INDEX KEY: 0001495536
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS CHEMICAL PRODUCTS [2890]
IRS NUMBER: 460525350
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8965 RESEARCH DRIVE
CITY: IRVINE
STATE: CA
ZIP: 92618
BUSINESS PHONE: (949) 616-3300
MAIL ADDRESS:
STREET 1: 8965 RESEARCH DRIVE
CITY: IRVINE
STATE: CA
ZIP: 92618
FORMER COMPANY:
FORMER CONFORMED NAME: Ener-Core Inc.
DATE OF NAME CHANGE: 20130516
FORMER COMPANY:
FORMER CONFORMED NAME: Inventtech Inc.
DATE OF NAME CHANGE: 20100629
4
1
f4060518hammons_enercore.xml
OWNERSHIP DOCUMENT
X0306
4
2018-06-05
0
0001495536
Ener-Core, Inc.
ENCR
0001580499
HAMMONS MICHAEL J
1680 EL CASERIO COURT
SAN LUIS OBISPO
CA
93401
1
0
0
0
Convertible Senior Secured Note due 2018
0.25
2018-06-05
4
P
0
27778
A
2018-06-05
2018-12-31
Common Stock
111111
27778
D
Warrant to Purchase Common Stock
0.30
2018-06-05
4
P
0
55556
A
2018-06-05
2023-06-05
Common Stock
55556
55556
D
On June 5, 2018, the reporting person acquired directly in a private placement (i) a convertible senior secured promissory note in principal amount of $27,778, convertible into shares of the Company's common stock at an initial conversion price of $0.25 per share and (ii) a five-year warrant to purchase an aggregate of 55,556 shares of the Company's common stock at an exercise price of $0.30 per share.
/s/ Michael J. Hammons
2018-06-15