Ener-Core, Inc. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2018-06-19: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2018-06-05; Total offering amount $4,500,000.
- 2018-04-05: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2017-09-19; Total offering amount $2,200,001.
- 2018-02-07: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2017-09-19; Total offering amount $1,900,000.
- 2018-01-04: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2017-09-19; Total offering amount $1,400,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2018-06-19 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2018-06-05 | $4,500,000 | $395,500 | $4,104,500 | 12 |
| 2018-04-05 D/A | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-09-19 | $2,200,001 | $2,200,001 | $0 | 24 |
| 2018-02-07 D/A | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-09-19 | $1,900,000 | $1,900,000 | $0 | 22 |
| 2018-01-04 D/A | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-09-19 | $1,400,000 | $1,400,000 | $0 | 17 |
| 2017-11-09 D/A | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-09-19 | $900,000 | $900,000 | $0 | 14 |
| 2017-10-19 D/A | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-09-19 | $500,000 | $500,000 | $0 | 10 |
| 2017-10-03 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2017-09-19 | $500,000 | $500,000 | $0 | 10 |
| 2016-12-14 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired; Includes additional Warrants issued to existing Note holders. | 2016-12-02 | $4,012,200 | $3,202,200 | $810,000 | 15 |
| 2016-01-11 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2015-12-31 | $2,500,000 | $2,500,000 | $0 | 11 |
| 2015-05-15 | Rule 506(b) | Equity; Common Stock | 2015-05-01 | $810,000 | $810,000 | $0 | 30 |
| 2015-05-08 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2015-04-23 | $5,000,000 | $5,000,000 | $0 | 11 |
| 2014-05-01 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2014-04-16 | $4,575,000 | $4,575,000 | $0 | 5 |