0001209191-17-024262.txt : 20170403 0001209191-17-024262.hdr.sgml : 20170403 20170403180331 ACCESSION NUMBER: 0001209191-17-024262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170403 DATE AS OF CHANGE: 20170403 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: STERN THEODORE CENTRAL INDEX KEY: 0000935991 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 17735639 MAIL ADDRESS: STREET 1: EXECUTIVE ASSOCIATES STREET 2: ONE PPG PLACE, SUITE 2970 CITY: PITTSBURGH STATE: PA ZIP: 15222 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-31 0 0001140310 EnSync, Inc. ESNC 0000935991 STERN THEODORE N93 W14475 WHITTAKER WAY MENOMONEE FALLS WI 53051 1 0 0 0 Common Stock 2017-03-31 4 M 0 18182 0.00 A 346969 D Common Stock 617187 I By Bomoseen Associates LP Restricted Stock Units 0.00 2017-03-31 4 M 0 18182 0.00 D Common Stock 18182 36363 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 at the earlier of (i) vesting and (ii) the date of a change in control. 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, 2017, June 30, 2017 and September 30, 2017, respectively. /s/ Theodore Stern by Mark R. Busch, attorney-in-fact 2017-04-03