SEC Form 4/A · accession 0001209191-17-049257
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
Daniel Nordloh
Officer — EVP Global Business Dev
Period of report
Jun 28, 2016
Accepted (ET)
Aug 16, 2017 · 5:31 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 | holding | — | — | — | 4,000 | 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 |
| Stock Option (right to buy)F2 | $1.02 | Jun 28, 2016 | A | 48,000 | A | Jun 28, 2016 | Sep 16, 2022 | Common Stock | 48,000 | 48,000 | 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.
- F2Represents a stock option award granted on September 16, 2014 and partially earned and vested on June 28, 2016 based on the satisfaction of certain performance-based vesting requirements.