SEC Form 4 · accession 0001209191-16-130253
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
Daniel Nordloh
Officer — EVP Global Business Dev
Period of report
Jun 28, 2016
Accepted (ET)
Jun 30, 2016 · 4:41 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 Stock | holding | — | — | — | 4,000 | 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 | $0.37 | Jun 28, 2016 | A | 360,000 | A | — | Jun 28, 2024 | Common Stock | 360,000 | 360,000 | D |
Explanation of responses
- F1These options will vest and become exercisable in three equal annual installments beginning on the first anniversary of the grant date.