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Intracoastal Capital, LLC, et al. – ‘SC 13G/A’ on 2/11/20 re: Ener-Core, Inc.

On:  Tuesday, 2/11/20, at 6:43am ET   ·   Accession #:  1213900-20-3224   ·   File #:  5-88296

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/11/20  Intracoastal Capital, LLC         SC 13G/A               1:58K  Ener-Core, Inc.                   Edgar Agents LLC/FA
          Daniel B. Asher
          Mitchell P. Kopin

Amendment to Statement of Acquisition of Beneficial Ownership by a Passive Investor   —   Sch. 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G/A    Amendment No. 2 to Schedule 13G                     HTML     29K 


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 2)*

 

Ener-Core, Inc.

 

(Name of Issuer)

 

Common Stock, $0.0001 par value per share

 

(Title of Class of Securities)

 

29272A206

 

(CUSIP Number)

 

December 31, 2019

 

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

a. ☐  Rule 13d-1(b)
b. ☒  Rule 13d-1(c)
c. ☐  Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 C: 
Page  C: 1 of 6 

 

 

CUSIP No. 29272A206  

 

1.

 

Names of Reporting Persons.

 

Mitchell P. Kopin 

2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a) ☐

(b) ☐ 

3.

 

SEC Use Only

 

4.

 

Citizenship or Place of Organization

 

United States of America

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

 

Sole Voting Power

 

0

6.

 

Shared Voting Power

 

335,944

7.

 

Sole Dispositive Power

 

0

8.

 

Shared Dispositive Power

 

335,944

9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

335,944 (see Item 4)

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)        ☐

 

11.

 

Percent of Class Represented by Amount in Row (9)

 

7.3% (see Item 4)

12.

 

Type of Reporting Person (See Instructions)

 

IN; HC

 

 C: 
Page 2 of 6 

 

 

CUSIP No. 29272A206  

 

1.

 

Names of Reporting Persons.

 

Daniel B. Asher

2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a) ☐

(b) ☐ 

3.

 

SEC Use Only

 

4.

 

Citizenship or Place of Organization

 

United States of America

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

 

Sole Voting Power

 

0

6.

 

Shared Voting Power

 

335,944

7.

 

Sole Dispositive Power

 

0

8.

 

Shared Dispositive Power

 

335,944

9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

335,944 (see Item 4)

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)        ☐

 

11.

 

Percent of Class Represented by Amount in Row (9)

 

7.3% (see Item 4)

12.

 

Type of Reporting Person (See Instructions)

 

IN; HC

  

 C: 
Page 3 of 6 

 

 

CUSIP No. 29272A206  

  

1.

 

Names of Reporting Persons.

 

Intracoastal Capital LLC

2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a) ☐

(b) ☐ 

3.

 

SEC Use Only

 

4.

 

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

 

Sole Voting Power

 

0

6.

 

Shared Voting Power

 

335,944

7.

 

Sole Dispositive Power

 

0

8.

 

Shared Dispositive Power

 

335,944

9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

335,944 (see Item 4)

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)        ☐

 

11.

 

Percent of Class Represented by Amount in Row (9)

 

7.3% (see Item 4)

12.

 

Type of Reporting Person (See Instructions)

 

OO

   

 C: 
Page 4 of 6 

 

 

This Amendment No. 2 is being filed jointly by the Reporting Persons and amends the Schedule 13G initially filed by the Reporting Persons with the Securities and Exchange Commission (the “SEC”) on July 10, 2018, as amended by Amendment No. 1 thereto filed by the Reporting Persons with the SEC on February 8, 2019 (the “Schedule 13G”). (the “Schedule 13G”).

 

Except as set forth below, all Items of the Schedule 13G remain unchanged. All capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Schedule 13G.

 

Item 4.Ownership.

 

(a) and (b):

 

As of the close of business on December 31, 2019, each of the Reporting Persons may have been deemed to have beneficial ownership of 335,944 shares of Common Stock, which consisted of (i) 291,500 shares of Common Stock issuable upon conversion of the Note and (ii) 44,444 shares of Common Stock issuable upon exercise of Intracoastal Warrant 1, and all such shares of Common Stock in the aggregate represented beneficial ownership of approximately 7.3% of the Common Stock, based on (1) 4,256,393 shares of Common Stock outstanding as of November 18, 2018 as reported by the Issuer, plus (2) 291,500 shares of Common Stock issuable upon conversion of the Note and (3) 44,444 shares of Common Stock issuable upon exercise of Intracoastal Warrant 1. The foregoing excludes (I) 62,500 shares of Common Stock issuable upon exercise of Intracoastal Warrant 2 because Intracoastal Warrant 2 contains a blocker provision under which the holder thereof does not have the right to exercise Intracoastal Warrant 2 to the extent (but only to the extent) that such exercise would result in beneficial ownership by the holder thereof, together with any other person whose beneficial ownership of the Common Stock would or could be aggregated with the holder, of more than 4.99% of the Common Stock, (II) 1,000 shares of Common Stock issuable upon exercise of Intracoastal Warrant 3 because Intracoastal Warrant 3 contains a blocker provision under which the holder thereof does not have the right to exercise Intracoastal Warrant 3 to the extent (but only to the extent) that such exercise would result in beneficial ownership by the holder thereof, together with any other person whose beneficial ownership of the Common Stock would or could be aggregated with the holder, of more than 4.99% of the Common Stock, (III) 1,000 shares of Common Stock issuable upon exercise of Intracoastal Warrant 4 because Intracoastal Warrant 4 contains a blocker provision under which the holder thereof does not have the right to exercise Intracoastal Warrant 4 to the extent (but only to the extent) that such exercise would result in beneficial ownership by the holder thereof, together with any other person whose beneficial ownership of the Common Stock would or could be aggregated with the holder, of more than 4.99% of the Common Stock, (IV) 4,396 shares of Common Stock issuable upon exercise of Intracoastal Warrant 5 because Intracoastal Warrant 5 contains a blocker provision under which the holder thereof does not have the right to exercise Intracoastal Warrant 5 to the extent (but only to the extent) that such exercise would result in beneficial ownership by the holder thereof, together with any other person whose beneficial ownership of the Common Stock would or could be aggregated with the holder, of more than 4.99% of the Common Stock, and (V) 10,000 shares of Common Stock issuable upon exercise of Intracoastal Warrant 6 because Intracoastal Warrant 6 contains a blocker provision under which the holder thereof does not have the right to exercise Intracoastal Warrant 6 to the extent (but only to the extent) that such exercise would result in beneficial ownership by the holder thereof, together with any other person whose beneficial ownership of the Common Stock would or could be aggregated with the holder, of more than 4.99% of the Common Stock. Without such blocker provisions, each of the Reporting Persons may have been deemed to have beneficial ownership of 414,840 shares of Common Stock.

 

(c) Number of shares as to which each Reporting Person has:

 

(i) Sole power to vote or to direct the vote:   0   .

 

(ii) Shared power to vote or to direct the vote:   335,944    .

 

(iii) Sole power to dispose or to direct the disposition of   0   .

 

(iv) Shared power to dispose or to direct the disposition of  335,944   .

 

Item 10.Certification

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

 

 C: 
Page 5 of 6 

 

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: February 11, 2020

  

  /s/ Mitchell P. Kopin
  Mitchell P. Kopin
     
  /s/ Daniel B. Asher
  Daniel B. Asher
     
  Intracoastal Capital LLC
     
  By: /s/ Mitchell P. Kopin
    Mitchell P. Kopin, Manager

 

 

Page 6 of 6

 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G/A’ Filing    Date    Other Filings
Filed on:2/11/20SC 13G,  SC 13G/A
12/31/19
2/8/19SC 13G/A
11/18/18
7/10/18SC 13G
 List all Filings 
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