SEC Form 4 · accession 0001209191-19-002817
EnSync, Inc. · ESNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore Stern
Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 8, 2019 · 4:53 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 StockF1 | Dec 31, 2018 | G | 617,187 | $0.00 | D | 0 | I | By Bomoseen Associates LP |
| Common Stock | holding | — | — | — | 858,249 | D | ||
| Common Stock | holding | — | — | — | 192,308 | I | By Theodore Stern Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred Stock UnitsF1,F2 | $0.95 | Dec 31, 2018 | G | 1,000 | D | Sep 27, 2013 | — | Common Stock | 1,767,981 | 0 | I |
Explanation of responses
- F1Represents transfer of shares for estate planning purposes.
- F2The Series B Convertible Preferred Stock has no expiration date.