SEC Form 4 · accession 0001209191-16-150658
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley Hansen
Officer — President and CEO · Director
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 6:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001140310
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Nov 14, 2016 | A | 750,000 | A | — | — | Common Stock | 750,000 | 750,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of common stock.
- F2These restricted stock units vest in three equal annual installments beginning on the first anniversary of the grant date.