SEC Form 4 · accession 0001209191-16-130255
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Whisman
Officer — VP - Sales
Period of report
Jun 28, 2016
Accepted (ET)
Jun 30, 2016 · 4:44 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 | Jun 28, 2016 | P | 108 | $0.31 | A | 20,108 | D | |
| Common Stock | Jun 29, 2016 | P | 3,827 | $0.36 | A | 23,935 | 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.