SEC Form 4 · accession 0001209191-17-066645
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Whisman
Officer — VP - Sales
Period of report
Dec 19, 2017
Accepted (ET)
Dec 20, 2017 · 4:28 pm EST
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 | — | — | — | 23,935 | 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 | $0.41 | Dec 19, 2017 | A | 90,000 | A | — | Dec 19, 2025 | Common Stock | 90,000 | 90,000 | 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.