SEC Form 4 · accession 0001209191-17-021565
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
Manfred E Birnbaum
Director
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 7:23 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 StockF2 | Mar 15, 2017 | S | 3,434 | $0.5841 | D | 374,153 | D | |
| Common StockF3 | Mar 16, 2017 | S | 4,236 | $0.5673 | D | 369,917 | D | |
| Common StockF4 | Mar 17, 2017 | S | 16,502 | $0.5506 | D | 353,415 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale of these shares was effected pursuant to a Rule 10b5-1 trading plan adopted in November 2016.
- F2The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $0.58 to $0.59, inclusive. The reporting person undertakes to provide to EnSync, Inc., any security holder of EnSync, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 2 to this Form 4.
- F3The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $0.56 to $0.63, inclusive. The reporting person undertakes to provide to EnSync, Inc., any security holder of EnSync, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 3 to this Form 4.
- F4The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $0.55 to $0.59, inclusive. The reporting person undertakes to provide to EnSync, Inc., any security holder of EnSync, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 4 to this Form 4.