electroCore director granted 11,123 RSUs

ECOR disclosed an annual director equity grant of 11,123 RSUs to director James Charles Theofilos, bringing his total direct equity holdings to 34,670 units and shares.

Rhea-AI Filing Summary

electroCore, Inc. (symbol: ECOR) is the issuer of record for a Form 4 filing submitted to the SEC. Theofilos James Charles reported acquisition or exercise transactions in this Form 4 filing.

electroCore, Inc. (ECOR) reported that director James Charles Theofilos received a grant of 11,123 Restricted Stock Units (RSUs) on September 9, 2026 as part of an annual director equity award. These RSUs vest in 12 equal monthly installments from the grant date, with full vesting instead occurring earlier if service continues through the business day before the next annual stockholder meeting or immediately prior to a change of control. After this grant, Theofilos holds 34,670 equity interests, consisting of 7,385 vested RSUs, 25,894 unvested RSUs, and 1,391 shares of common stock, all held directly. No Rule 10b5-1 trading plan is reported for this award.

Insider Trade Summary

Grant/Award: 11,123 shares

Grant/Award 1 txn

Insider Theofilos James Charles

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1, F2	11,123	$0.00	$0.00

Holdings After Transaction: Common Stock — 34,670 shares (Direct)

Footnotes (2)

1. F1. Represents a grant of Restricted Stock Units ("RSUs") as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the RSUs shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.
2. F2. Includes 7,385 vested RSUs, 25,894 unvested RSUs and 1,391 shares of common stock.

Key Figures

RSUs granted: 11,123 RSUs Holdings after transaction: 34,670 units and shares Vested RSUs: 7,385 RSUs +3 more

6 metrics

RSUs granted 11,123 RSUs Annual director award granted on September 9, 2026

Holdings after transaction 34,670 units and shares Total direct equity interests held by James Charles Theofilos after the grant

Vested RSUs 7,385 RSUs Portion of Theofilos’s ECOR RSUs that are vested after the grant

Unvested RSUs 25,894 RSUs Portion of Theofilos’s ECOR RSUs that remain unvested after the grant

Common stock held 1,391 shares Shares of ECOR common stock directly held by Theofilos after the grant

Vesting schedule 12 monthly installments RSUs vest in 12 equal monthly installments from the grant date

Key Terms

Restricted Stock Units ("RSUs"), change of control, continuous service, business day

4 terms

Restricted Stock Units ("RSUs") financial

"Represents a grant of Restricted Stock Units ("RSUs") as a part of an annual director award"

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

change of control financial

"immediately prior to a change of control, in each case, provided that the Reporting Person remains"

A change of control occurs when the ownership or management of a company shifts significantly, such as through a sale, merger, or acquisition, resulting in new leadership or ownership structure. This change can impact the company's direction and decision-making, which is important for investors because it may affect the company's stability, strategy, and future prospects.

continuous service financial

"provided that the Reporting Person remains in continuous service with the Issuer or an affiliate"

business day financial

"the close of business one business day prior to the Issuer's next annual stockholder meeting"

A business day is any weekday when banks, stock exchanges and most government offices are open for normal operations, excluding weekends and public holidays. For investors it matters because transaction timing, settlement of trades, filing deadlines and interest calculations are all measured in business days—think of it as the financial world’s working calendar that determines when money moves and official actions take effect.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did ECOR disclose for James Charles Theofilos?

ECOR disclosed that director James Charles Theofilos received a grant of 11,123 RSUs of common stock on September 9, 2026 as part of an annual director equity award, with no cash price per share reported for the grant.

How many ECOR shares and RSUs does James Charles Theofilos hold after this Form 4?

After the reported grant, James Charles Theofilos directly holds 34,670 equity interests in ECOR, including 7,385 vested RSUs, 25,894 unvested RSUs, and 1,391 shares of common stock.

What are the vesting terms of the 11,123 ECOR RSUs granted to James Charles Theofilos?

The 11,123 RSUs vest in 12 equal monthly installments from the grant date, with full vesting instead occurring on the business day before ECOR’s next annual stockholder meeting or immediately prior to a change of control, if he remains in continuous service.

Is the ECOR RSU grant to James Charles Theofilos covered by a Rule 10b5-1 plan?

No. The filing indicates the Rule 10b5-1 checkbox is not marked, so no Rule 10b5-1 trading plan is reported in connection with this RSU grant to director James Charles Theofilos.

What type of security was granted to the ECOR director in this Form 4?

The ECOR director received a grant of Restricted Stock Units (RSUs) tied to ECOR common stock. The transaction is reported as a grant, award, or other acquisition of non-derivative common stock equivalents at a stated price of $0.00 per unit.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/10/2026 - 05:04 PM Accepted by SEC EDGAR 09/10/2026 - 05:04 PM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Theofilos James Charles

(Last) (First) (Middle)

C/O ELECTROCORE, INC.

200 FORGE WAY, SUITE 205

(Street)

ROCKAWAY NEW JERSEY 07866

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
electroCore, Inc. [ ECOR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/09/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/09/2026		A		11,123(1)	A	$0	34,670(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents a grant of Restricted Stock Units ("RSUs") as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the RSUs shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

2. Includes 7,385 vested RSUs, 25,894 unvested RSUs and 1,391 shares of common stock.

	/s/ James C. Theofilos	09/10/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)