0001209191-18-058764.txt : 20181115 0001209191-18-058764.hdr.sgml : 20181115 20181115165403 ACCESSION NUMBER: 0001209191-18-058764 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181113 FILED AS OF DATE: 20181115 DATE AS OF CHANGE: 20181115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OZANNE JAMES CENTRAL INDEX KEY: 0001245515 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 181187810 MAIL ADDRESS: STREET 1: C/O NMI STREET 2: 2100 POWELL STREET, 12TH FLOOR CITY: EMERYVILLE STATE: CA ZIP: 94608 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: N88 W13901 MAIN STREET, SUITE 200 CITY: MENOMONEE FALLS STATE: WI ZIP: 53051 BUSINESS PHONE: 262-253-9800 MAIL ADDRESS: STREET 1: N88 W13901 MAIN STREET, SUITE 200 CITY: MENOMONEE FALLS STATE: WI ZIP: 53051 FORMER COMPANY: FORMER CONFORMED NAME: ZBB ENERGY CORP DATE OF NAME CHANGE: 20010509 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-11-13 0 0001140310 EnSync, Inc. ESNC 0001245515 OZANNE JAMES N88 W13901 MAIN STREET, SUITE 200 MENOMONEE FALLS WI 53051 1 0 0 0 Common Stock 80362 D Restricted Stock Units 0.00 2018-11-13 4 A 0 34091 0.00 A Common Stock 34091 34091 D Restricted Stock Units 0.00 2018-11-13 4 A 0 327273 0.00 A Common Stock 327273 327273 D Each restricted stock unit represents a contingent right to receive one share of common stock. Represents a restricted stock unit award granted pursuant to the Company's director compensation policy. The restricted stock units vested upon grant. The restricted stock units vest as follows: 25% on the date of grant and the remaining units vest in three equal installments on each of March 31, 2019, June 30, 2019 and September 30, 2019, respectively. /s/ James Ozanne by Mark R. Busch, attorney-in-fact 2018-11-15