Securities Registration (section 12(b)) (8-a12b)
18 11월 2015 - 7:20AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 20549
FORM
8-A
FOR
REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT
TO SECTION 12(b) OR (g) OF
THE
SECURITIES EXCHANGE ACT OF 1934
Ener-Core,
Inc.
(Exact
name of registrant as specified in its charter)
Delaware |
|
46-0525350 |
(State of incorporation or organization) |
|
(I.R.S. Employer Identification No.) |
|
|
|
9400 Toledo Way |
|
92618 |
Irvine, California
(Address of principal executive offices) |
|
(Zip Code) |
Securities
to be registered pursuant to Section 12(b) of the Act:
Title of Each Class
to be so Registered |
|
Name of Each Exchange on Which
Each Class is to be Registered |
Common Stock, $0.0001 par value per share
Warrants to Purchase Common Stock |
|
NYSE MKT LLC
NYSE MKT LLC |
If this
form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant
to General Instruction A.(c), check the following box. ☒
If this
form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant
to General Instruction A.(d), check the following box. ☐
Securities
Act registration statement file number to which this form relates: 333-205916
Securities
to be registered pursuant to Section 12(g) of the Act: None.
Item
1. Description of Registrant’s Securities to be Registered.
This
registration statement on Form 8-A is being filed by Ener-Core, Inc. (the “Registrant”) to register common stock and
warrants of the Registrant under Section 12(b) of the Securities Exchange Act of 1934, as amended. The description of the common
stock, $0.0001 par value per share, and warrants registered hereby, as included under the caption “Description of Capital
Stock” in the prospectus forming a part of the Registration Statement on Form S-1 (Registration No. 333-205916), as initially
filed by the Registrant with the Securities and Exchange Commission (the “Commission”) under the Securities Act of
1933, as amended (the “Securities Act”) on July 29, 2015, as subsequently amended (the “Registration Statement”),
is incorporated by reference herein. Any prospectus that constitutes part of the Registration Statement and that is subsequently
filed by the Registrant with the Commission pursuant to Rule 424(b) under the Securities Act shall be deemed to be incorporated
by reference herein.
Item
2. Exhibits.
Pursuant
to the Instructions as to Exhibits with respect to Form 8-A, no exhibits are required to be filed with this registration statement
on Form 8-A because no other securities of the Registrant are registered on the NYSE MKT LLC and the securities registered hereby
are not being registered pursuant to Section 12(g) of the Securities Exchange Act of 1934, as amended.
SIGNATURE
Pursuant
to the requirements of Section 12 of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this registration
statement on Form 8-A to be signed on its behalf by the undersigned, thereto duly authorized.
Dated:
November 17, 2015
|
ENER-CORE, INC. |
|
|
|
By: |
/s/ Boris A. Maslov |
|
|
Name: Boris A. Maslov |
|
|
Title: President |
3
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