Current Report Filing (8-k)
October 13 2020 - 8:11AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (date of earliest event
reported)
October 13, 2020
electroCore, Inc.
(Exact name of registrant as specified
in its charter)
Delaware
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001-38538
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20-3454976
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(State or other jurisdiction
of
incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer
Identification Number)
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150 Allen Road, Suite 201
Basking Ridge, NJ 07920
(Address of principal executive offices
and zip code)
(973) 290-0097
(Registrant’s telephone number,
including area code)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading
symbol(s)
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Name of each exchange
on which registered
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Common Stock, Par Value $0.001 Per Share
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ECOR
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NASDAQ Global Select Market
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Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards
provided pursuant to Section 13(a) of the Exchange Act. ☒
Item 2.02. Results of Operations and Financial Condition.
On October 13, 2020, electroCore, Inc.
(the “Company”) issued a press release providing a business update, including preliminary unaudited financial
guidance for the third quarter of 2020. A copy of the press release is filed herewith as Exhibit 99.1.
Item 7.01. Regulation FD Disclosure.
The Company has made available a presentation
about its business. A copy of the presentation is furnished herewith as Exhibit 99.2.
The furnishing of the attached presentation
is not an admission as to the materiality of any information therein. The information contained in the slides is summary information
that is intended to be considered in the context of more complete information included in the Company’s filings with the
SEC and other public announcements that the Company has made and may make from time to time by press release or otherwise. The
Company undertakes no duty or obligation to update or revise the information contained in this report, although it may do so from
time to time as its management believes is appropriate. Any such updating may be made through the filing of other reports or documents
with the SEC, through press releases or through other public disclosures. For important information about forward looking statements,
see the slide titled “Forward Looking Statements” in Exhibit 99.2 attached hereto.
The information in this Item 7.01 of this
Current Report on Form 8-K and Exhibit 99.2 attached hereto shall not be deemed “filed” for purposes of Section 18
of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section or Sections 11 and
12(a)(2) of the Securities Act of 1933, as amended. The information contained in this Item 7.01 and in the presentation attached
as Exhibit 99.2 to this Current Report shall not be incorporated by reference into any filing with the SEC made by the Company,
whether made before or after the date hereof, regardless of any general incorporation language in such filing.
Item
9.01. Financial Statements and Exhibits.
(d) Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act
of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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electroCore, Inc.
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October 13, 2020
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/s/ Brian Posner
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Brian Posner
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Chief Financial Officer
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