SEC Form 4 · accession 0001209191-15-081323
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Dennis
Officer — VP System Eng and Dev
Period of report
Nov 17, 2015
Accepted (ET)
Nov 19, 2015 · 5:03 pm EST
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 Stock | holding | — | — | — | 7,262 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $0.48 | Nov 17, 2015 | A | 60,000 | A | Nov 17, 2015 | Dec 11, 2022 | Common Stock | 60,000 | 60,000 | D |
Explanation of responses
- F1Represents a stock option award granted on December 11, 2014 and partially earned and vested on November 17, 2015 based on the satisfaction of certain performance-based vesting requirements.