Ener-Core, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-05-03: Reporting owner REIMAN JAMES; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-04-14: Reporting owner Williams Kent B.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-04-04: Reporting owner CASTRO ALAIN J; Form 4/A; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-04-04: Reporting owner TCHAIKOVSKY BENNET PRICE JR; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-05-03 | REIMAN JAMES Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.50 exercise price | 2017-05-05 | |
| 2017-04-14 | Williams Kent B. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.50 exercise price | 2017-04-18 | |
| 2017-04-04 | CASTRO ALAIN J Director, Officer (Chief Executive Officer) | 4/A | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +87,500 87,500 owned after | $2.50 exercise price | 2017-04-07 | |
| 2017-04-04 | TCHAIKOVSKY BENNET PRICE JR Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.50 exercise price | 2017-04-06 | |
| 2017-04-04 | Markscheid Stephen Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $2.50 exercise price | 2017-04-06 | |
| 2017-04-04 | Horn Jeffrey Alan Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.50 exercise price | 2017-04-06 | |
| 2017-04-04 | Hamrin Douglas Arthur Officer (VP of Engineering) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 40,550 owned after | $2.50 exercise price | 2017-04-06 | |
| 2017-04-04 | HAMMONS MICHAEL J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.50 exercise price | 2017-04-06 | |
| 2017-04-04 | Copeland Ian Christopher Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.50 exercise price | 2017-04-06 | |
| 2017-04-04 | CASTRO ALAIN J Director, Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +87,500 87,500 owned after | $2.50 exercise price | 2017-04-06 | |
| 2017-04-04 | Carney Domonic J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +52,500 52,500 owned after | $2.50 exercise price | 2017-04-06 | |
| 2016-07-01 | Markscheid Stephen Director | 4 | Stock option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $4.31 exercise price | 2016-07-06 | |
| 2015-05-18 | HELENEK ERIC Director | 4 | Option to purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.19 exercise price | 2015-05-20 | |
| 2015-03-26 holding as of filing | Copeland Ian Christopher Director | 3 | Option to purchase Derivative · Direct | Holding | $0.16 exercise price | 2015-03-26 | ||
| 2015-03-26 holding as of filing | CASTRO ALAIN J Officer (Chief Executive Officer) | 3 | Option to purchase Derivative · Direct | Holding | $0.35 exercise price | 2015-03-26 | ||
| 2015-03-26 holding as of filing | CASTRO ALAIN J Officer (Chief Executive Officer) | 3 | Option to purchase Derivative · Direct | Holding | $0.48 exercise price | 2015-03-26 | ||
| 2015-03-26 holding as of filing | CASTRO ALAIN J Officer (Chief Executive Officer) | 3 | Option to purchase Derivative · Direct | Holding | $0.16 exercise price | 2015-03-26 | ||
| 2015-03-25 holding as of filing | Hamrin Douglas Arthur Officer (Vice President, Engineering) | 3 | Option to purchase Derivative · Direct | Holding | $0.35 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | Hamrin Douglas Arthur Officer (Vice President, Engineering) | 3 | Option to purchase Derivative · Direct | Holding | $0.48 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | Hamrin Douglas Arthur Officer (Vice President, Engineering) | 3 | Option to purchase Derivative · Direct | Holding | $0.25 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | Horn Jeffrey Alan Director | 3 | Option to purchase Derivative · Direct | Holding | $0.44 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | Domonic Carney J Officer (Chief Financial Officer) | 3 | Option to purchase Derivative · Direct | Holding | $0.15 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | Domonic Carney J Officer (Chief Financial Officer) | 3 | Option to purchase Derivative · Direct | Holding | $0.16 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | TCHAIKOVSKY BENNET PRICE JR Director | 3 | Option to purchase Derivative · Direct | Holding | $0.35 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | MASLOV BORIS A Officer (President) | 3 | Option to purchase Derivative · Direct | Holding | $0.35 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | MASLOV BORIS A Officer (President) | 3 | Option to purchase Derivative · Direct | Holding | $0.48 exercise price | 2015-03-25 | ||
| 2015-03-25 holding as of filing | MASLOV BORIS A Officer (President) | 3 | Option to purchase Derivative · Direct | Holding | $0.16 exercise price | 2015-03-25 |