SEC Form 4/A · accession 0001209191-17-021799
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Manfred E Birnbaum
Director
Period of report
Mar 15, 2017
Accepted (ET)
Mar 20, 2017 · 5:45 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. The sales of shares pursuant to this Rule 10b5-1 trading plan and disclosed on this Form 4/A reflect the execution of all shares subject to the Rule 10b5-1 trading plan. As a result, the Rule 10b5-1 trading plan has been terminated effective as of the filing of this Form 4/A.
- 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/A.
- 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/A.
- 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/A.