SEC Form 4 · accession 0001209191-16-112269
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Theodore Stern
Director
Period of report
Mar 31, 2016
Accepted (ET)
Apr 4, 2016 · 4:24 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, 2016 | M | 36,000 | $0.00 | A | 855,792 | D | |
| Common Stock | holding | — | — | — | 617,187 | I | Held by Bomoseen Associates LP |
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,F3 | — | Mar 31, 2016 | M | 36,000 | D | — | — | Common Stock | 36,000 | 72,000 | D |
Explanation of responses
- F1Represents shares acquired upon vesting of a restricted stock unit award.
- F2Each restricted stock unit represents a contingent right to receive one share of common stock.
- F3The 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, 2016, June 30, 2016 and September 30, 2016, respectively.