Ener-Core, Inc. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 11 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-06-05: Reporting owner HAMMONS MICHAEL J; Form 4; Security Convertible Senior Secured Note due 2018; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2018-03-26: Reporting owner Hamrin Douglas Arthur; Form 4; Security Convertible Senior Secured Note due 2018; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2018-03-26: Reporting owner Carney Domonic J.; Form 4; Security Convertible Senior Secured Note due 2018; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2018-03-26: Reporting owner Mok Tsan San; Form 3; Security Convertible Unsecured Note; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-06-05 | HAMMONS MICHAEL J Director | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +55,556 55,556 owned after | $0.25 exercise price | 2018-06-15 | |
| 2018-03-26 | Hamrin Douglas Arthur Officer (Vice President, Engineering) | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,111 10,111 owned after | $2.50 exercise price | 2018-03-27 | |
| 2018-03-26 | Carney Domonic J. Officer (Chief Financial Officer) | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +16,000 16,000 owned after | $2.50 exercise price | 2018-03-27 | |
| 2018-03-26 holding as of filing | Mok Tsan San 10% Owner | 3 | Convertible Unsecured Note Derivative · Direct | Holding | $2.50 exercise price | 2018-03-26 | ||
| 2018-01-25 | Carney Domonic J. Officer (Chief Financial Officer) | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,444 4,444 owned after | $2.50 exercise price | 2018-01-29 | |
| 2017-12-20 | Carney Domonic J. Officer (Chief Financial Officer) | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | L Small acquisition under Rule 16a-6 | $2.50 exercise price | 2018-01-29 | ||
| 2017-11-01 | HAMMONS MICHAEL J Director | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,222 2,222 owned after | $2.50 exercise price | 2017-11-02 | |
| 2017-09-19 | Carney Domonic J. Officer (Chief Financial Officer) | 4/A | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +11,111 11,111 owned after | $2.50 exercise price | 2017-11-02 | |
| 2017-09-19 | Carney Domonic J. Officer (Chief Financial Officer) | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +11,111 11,111 owned after | $2.50 exercise price | 2017-09-20 | |
| 2016-12-02 | CASTRO ALAIN J Director, Officer (Chief Executive Officer) | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +11,200 11,200 owned after | $2.50 exercise price | 2016-12-06 | |
| 2016-12-02 | Markscheid Stephen Director | 4 | Convertible Senior Secured Note due 2018 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $2.50 exercise price | 2016-12-06 |