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