0001209191-17-021799.txt : 20170320 0001209191-17-021799.hdr.sgml : 20170320 20170320174558 ACCESSION NUMBER: 0001209191-17-021799 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170315 FILED AS OF DATE: 20170320 DATE AS OF CHANGE: 20170320 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EnSync, Inc. CENTRAL INDEX KEY: 0001140310 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 391987014 STATE OF INCORPORATION: WI FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: N93 W14475 WHITTAKER WAY CITY: MENOMONEE FALLS STATE: WI ZIP: 53051 BUSINESS PHONE: 262-253-9800 MAIL ADDRESS: STREET 1: N93 W14475 WHITTAKER WAY CITY: MENOMONEE FALLS STATE: WI ZIP: 53051 FORMER COMPANY: FORMER CONFORMED NAME: ZBB ENERGY CORP DATE OF NAME CHANGE: 20010509 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birnbaum Manfred E CENTRAL INDEX KEY: 0001422900 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 17702419 MAIL ADDRESS: STREET 1: N93 W14475 WHITTAKER WAY CITY: MENOMONEE FALLS STATE: WI ZIP: 53051 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2017-03-15 2017-03-17 0 0001140310 EnSync, Inc. ESNC 0001422900 Birnbaum Manfred E N93 W14475 WHITTAKER WAY MENOMONEE FALLS WI 53051 1 0 0 0 Common Stock 2017-03-15 4 S 0 3434 0.5841 D 374153 D Common Stock 2017-03-16 4 S 0 4236 0.5673 D 369917 D Common Stock 2017-03-17 4 S 0 16502 0.5506 D 353415 D The 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. The 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. The 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. The 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. /s/ Manfred E. Birnbaum by Mark R. Busch, attorney-in-fact 2017-03-20