STERN THEODORE 4
4 · EnSync, Inc. · Filed Oct 2, 2018
Insider Transaction Report
Form 4
EnSync, Inc.ESNC
STERN THEODORE
Director
Transactions
- Award
Common Stock
2018-07-03+73,670→ 858,249 total - Exercise/Conversion
Restricted Stock Units
2018-10-01−15,517→ 0 totalExercise: $0.00→ Common Stock (15,517 underlying) - Exercise/Conversion
Restricted Stock Units
2018-10-01−58,153→ 0 totalExercise: $0.00→ Common Stock (58,153 underlying)
Holdings
- 192,308(indirect: By Trust)
Common Stock
- 617,187(indirect: By Bomoseen Associates LP)
Common Stock
Footnotes (4)
- [F1]Represents shares acquired upon vesting of a restricted stock unit award.
- [F2]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 at the earlier of (i) vesting and (ii) the date of a change in control.
- [F3]The restricted stock units vested on grant.
- [F4]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.