0001209191-17-061186.txt : 20171116 0001209191-17-061186.hdr.sgml : 20171116 20171116162901 ACCESSION NUMBER: 0001209191-17-061186 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171114 FILED AS OF DATE: 20171116 DATE AS OF CHANGE: 20171116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERN THEODORE CENTRAL INDEX KEY: 0000935991 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 171208332 MAIL ADDRESS: STREET 1: EXECUTIVE ASSOCIATES STREET 2: ONE PPG PLACE, SUITE 2970 CITY: PITTSBURGH STATE: PA ZIP: 15222 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-14 0 0001140310 EnSync, Inc. ESNC 0000935991 STERN THEODORE N93 W14475 WHITTAKER WAY MENOMONEE FALLS WI 53051 1 0 0 0 Common Stock 2017-11-14 4 M 0 58154 0.00 A 655771 D Common Stock 617187 I By Bomoseen Associates LP Restricted Stock Units 0.00 2017-11-14 4 A 0 232615 0.00 A Common Stock 232615 232615 D Restricted Stock Units 0.00 2017-11-14 4 M 0 58154 0.00 D Common Stock 58154 174461 D Represents shares acquired upon vesting of a restricted stock unit award. Each restricted stock unit represents a contingent right to receive one share of common stock. Restricted stock units that become earned and vested are payable on the earlier of (i) vesting and (ii) the date of a change in control. Represents a restricted stock unit award granted pursuant to the Company's director compensation policy. 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, 2018, June 30, 2018 and September 30, 2018, respectively. /s/ Theodore Stern by Mark R. Busch, attorney-in-fact 2017-11-16