SEC Form 4 · accession 0001209191-18-009559
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Dallapiazza
Officer — Chief Financial Officer
Period of report
Feb 9, 2018
Accepted (ET)
Feb 13, 2018 · 4:32 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $0.37 | Feb 9, 2018 | A | 120,000 | A | — | Feb 9, 2026 | Common Stock | 120,000 | 120,000 | 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.