SEC Form 4 · accession 0001209191-15-031470
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Manfred E Birnbaum
Director
Period of report
Mar 31, 2015
Accepted (ET)
Apr 2, 2015 · 4:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001140310
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 31, 2015 | M | 28,125 | $0.00 | A | 195,155 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $0.00 | Mar 31, 2015 | M | 28,125 | D | — | — | Common Stock | 28,125 | 56,250 | D |
Explanation of responses
- F1Represents shares acquired upon vesting of a restricted stock unit award.
- F2The restricted stock units vest as follows: 25% on the date of grant and the remaining units vest in three equal installments on each of March 31, 2015, June 30, 2015 and September 30, 2015, respectively.