SEC Form 4 · accession 0001209191-16-143781
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore Stern
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 3, 2016 · 8:08 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 | Sep 30, 2016 | M | 36,000 | $0.00 | A | 310,605 | 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 | — | Sep 30, 2016 | M | 36,000 | D | — | — | Common Stock | 36,000 | 0 | 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.