Amended Statement of Ownership (sc 13g/a)
29 1월 2021 - 9:08PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment
No. 3)*
Ener-Core, Inc.
(Name
of Issuer)
Common
Stock, $0.0001 par value per share
(Title
of Class of Securities)
29272A206
(CUSIP
Number)
December
31, 2020
(Date
of Event Which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
*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).
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1.
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Names of Reporting Persons.
Mitchell P. Kopin
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐
(b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
United States of America
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Number of
Shares Beneficially
Owned by Each
Reporting
Person With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
55,444
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
55,444
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
55,444 (see Item 4)
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) ☐
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11.
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Percent of Class Represented by Amount in Row (9)
1.3% (see Item 4)
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12.
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Type of Reporting Person (See Instructions)
IN; HC
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1.
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Names of Reporting Persons.
Daniel B. Asher
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐
(b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
United States of America
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Number of
Shares Beneficially
Owned by Each
Reporting
Person With:
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5.
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Sole Voting Power
0
|
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6.
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Shared Voting Power
55,444
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7.
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Sole Dispositive Power
0
|
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8.
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Shared Dispositive Power
55,444
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
55,444 (see Item 4)
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) ☐
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11.
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Percent of Class Represented by Amount in Row (9)
1.3% (see Item 4)
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12.
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Type of Reporting Person (See Instructions)
IN; HC
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1.
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Names of Reporting Persons.
Intracoastal Capital LLC
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐
(b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
Delaware
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Number of
Shares Beneficially
Owned by Each
Reporting
Person With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
55,444
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
55,444
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
55,444 (see Item 4)
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) ☐
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11.
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Percent of Class Represented by Amount in Row (9)
1.3% (see Item 4)
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12.
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Type of Reporting Person (See Instructions)
OO
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This Amendment No. 3
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 and as amended by Amendment No. 2 thereto filed by the Reporting Persons
with the SEC on February 11, 2020 (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.
(a) and (b):
As of the close of business on December 31, 2020, each of the
Reporting Persons may have been deemed to have beneficial ownership of 55,444 shares of Common Stock, which consisted of (i) 10,000
shares of Common Stock issuable upon exercise of a warrant held by Intracoastal (“Intracoastal Warrant 1”),
(ii) 1,000 shares of Common Stock issuable upon exercise of a second warrant held by Intracoastal (“Intracoastal Warrant
2”) and (iii) 44,444 shares of Common Stock issuable upon exercise of a third warrant held by Intracoastal (“Intracoastal
Warrant 3”), and all such shares of Common Stock in the aggregate represented beneficial ownership of approximately 1.3%
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) 10,000 shares of Common Stock issuable upon exercise of Intracoastal Warrant 1, (3) 1,000 shares of Common Stock issuable
upon exercise of Intracoastal Warrant 2 and (4) 44,444 shares of Common Stock issuable upon exercise of Intracoastal Warrant 3.
(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:
55,444 .
(iii) Sole power to dispose or to direct the disposition
of 0 .
(iv) Shared power to dispose or to direct the disposition
of 55,444 .
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Item 5.
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Ownership of Five Percent or Less of a Class
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If this statement is being filed to
report the fact that as of the date hereof the reporting person has ceased to be
the beneficial owner of more than 5 percent of the class of securities, check the following þ.
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.
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: January 29, 2021
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/s/ Mitchell P. Kopin
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Mitchell P. Kopin
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/s/ Daniel B. Asher
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Daniel B. Asher
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Intracoastal Capital LLC
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By:
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/s/ Mitchell P. Kopin
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Mitchell P. Kopin, Manager
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Page 6 of 6
Ener Core (CE) (USOTC:ENCR)
과거 데이터 주식 차트
부터 2월(2) 2025 으로 3월(3) 2025
Ener Core (CE) (USOTC:ENCR)
과거 데이터 주식 차트
부터 3월(3) 2024 으로 3월(3) 2025
