ESNC Common Shares (CE)

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

 

Date of report (Date of earliest event reported): November 12, 2018

 

EnSync, Inc.

(Exact name of registrant as specified in charter)

 

Wisconsin		001-33540		39-1987014
(State or other jurisdiction of incorporation)		(Commission file number)		(IRS Employer Identification Number)

 

N93 W13901 Main Street, Suite 200, Menomonee Falls, Wisconsin		53051
(Address of principal executive offices)		(Zip Code)

 

 

Registrant’s telephone number, including area code: (262) 253-9800

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions.

 

¨

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

 

 

 

 

Item

2.02 Results of Operations and Financial Condition.

 

On November 12, 2018, EnSync, Inc. announced its financial results for the quarter ended September 30, 2018.  A copy of the press release is being furnished as Exhibit 99 to this Report on Form 8-K.

 

The information in this Current Report on Form 8-K and Exhibit 99 attached hereto is intended to be furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as expressly set forth by specific reference in such filing.

 

Item

9.01. Financial Statements and Exhibits.

 

(d)

Exhibits.

 

	Exhibit No.	Exhibit Description
	99	Press release, November 12, 2018, issued by EnSync, Inc., furnished herewith

  

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

			EnSync, Inc.
Dated:	November 13, 2018		By:	/s/ William J. Dallapiazza
			Name:	William J. Dallapiazza
			Title:	Chief Financial Officer