ESNC / EnSync, Inc. - Insider Trading and Ownership Report - SEC Form 3, 4, 5

EnSync, Inc.
US ˙ OTCPK

Ações em Circulação 68,088,055 shares
Ações de Insider73,252,889 shares
Total de Insiders29
Pontuação de Sentimento de Insider

A Pontuação de Sentimento de Insider encontra as empresas que estão sendo compradas por insiders corporativos.

É o resultado de um modelo quantitativo sofisticado e multifatorial que identifica empresas com os mais altos níveis de acumulação por insiders. O modelo de pontuação usa uma combinação do número líquido de insiders comprando nos últimos 90 dias, o total de ações compradas como um percentual do float, e o total de ações possuídas por insiders. A escala varia de 0 a 100, com números mais altos indicando um maior nível de acumulação em relação aos seus pares, e 50 sendo a média.

Frequência de Atualização: Diariamente

Veja as Principais Escolhas dos Insiders, que fornece uma lista de empresas com a maior acumulação de insiders.

Pontuação de Sentimento dos Oficiais

A Pontuação de Sentimento de Officer encontra empresas que estão sendo compradas por Oficiais Corporativos.

Por definição, Oficiais Corporativos são Insiders Corporativos, mas, ao contrário de alguns outros Insiders (Acionistas de 10% e Membros do Conselho), os Oficiais trabalham para a empresa diariamente, e eles usam seu próprio dinheiro ao negociar. (Acionistas de 10% e Membros do Conselho muitas vezes são gestores de fundos que gerenciam o dinheiro de outras pessoas.) Como tal, as negociações de insiders feitas por Oficiais são muito mais significativas e devem ser tratadas apropriadamente.

Como a Pontuação de Sentimento dos Insiders, a Pontuação de Sentimento de Officer é o resultado de um modelo quantitativo sofisticado e multifatorial que identifica empresas com os mais altos níveis de acumulação por parte dos oficiais.

Frequência de Atualização: Diariamente

Veja as Principais Escolhas dos Insiders, que fornece uma lista de empresas com maior sentimento dos insiders.

Principais Métricas de Insider

Este cartão mostra como a empresa se classifica em várias métricas internas. O percentil mostra como esta empresa se compara a outras empresas nos mercados dos EUA. Classificações mais altas são indicativas de situações melhores.

Por exemplo, geralmente aceita-se que a compra interna é um indicador positivo, portanto, empresas com mais compras internas teriam classificações mais altas do que empresas com menos compras internas (ou até mesmo venda interna).

Número Líquido de Insiders Comprando (Classificação)

0 ( )
2048 out of 10948

Número Líquido de Insiders Comprando é o número total de insiders comprando menos o número total de insiders vendendo nos últimos 90 dias. O percentil é mostrado aqui (varia de 0 a 100%).

Percentual do Float Comprado por Insiders (Classificação)

0.000% ( )
2028 out of 10786

Percentual do Float Comprado por Insiders é o número total de ações compradas por insiders menos o número total de ações vendidas por insiders nos últimos 90 dias, dividido pelo total flutuante e multiplicado por 100.

Gráfico de Negociação de Insider

EnSync, Inc. negociações de insiders são mostradas no seguinte gráfico. Insiders são oficiais, diretores ou investidores significativos em uma empresa. Em geral, é geralmente ilegal para insiders realizarem negociações em suas empresas com base em informações materiais, não públicas. Isso não significa que seja ilegal para eles fazerem quaisquer negociações em suas próprias empresas. No entanto, eles devem relatar todas as negociações à SEC através de um Formulário 4.

Roster de Insider e Métricas de Lucratividade

Esta tabela mostra a lista de insiders conhecidos, e é gerada automaticamente a partir de arquivamentos divulgados à SEC. Além dos nomes, título mais recente, e designação de diretor, oficial ou proprietário de 10%, fornecemos as últimas participações divulgadas. Adicionalmente, quando possível fornecemos o desempenho comercial histórico do insider. O desempenho comercial histórico é uma média ponderada do desempenho de transações reais de compra no mercado aberto feitas pelo insider. Para mais informações sobre como isso é calculado, assista este webinar no YouTube.

See our leaderboard of most profitable insider traders.

Insider Lucro Médio (%) Ações
Possuídas
Ajuste
de Divisão
Richard A Abdoo Director - [D] 855,013 855,013
Ardsley Advisory Partners 10% Owner - [10%] 2,857,831 2,857,831
Eric C Apfelbach Chief Executive Officer, Director - [D] [O] 153,364 153,364
Manfred E Birnbaum Director - [D] 407,960 407,960
Hoong Khoeng Cheong 145,455
William Dallapiazza 120,000
Kevin Dennis VP System Eng and Dev - [O] 7,262 7,262
GLG Partners LP 10% Owner - [10%] 1,177,955 1,177,955
William C Hogoboom Chief Financial Officer - [O] 39,146 39,146
Insider Lucro Médio (%) Ações
Possuídas
Ajuste
de Divisão
Bradley Hansen President and CEO, Director - [D] [O] 433,700 433,700
Jilun He 10% Owner - [10%] 8,000,000 8,000,000
Paul F Koeppe Director - [D] 2,387,593 2,387,593
Capital Management Marathon 10% Owner - [10%] 8,328,651 8,328,651
Melodious International Investments Group Ltd 10% Owner - [10%] 16,000,000 16,000,000
Melodious Investments Co Ltd 10% Owner - [10%] 16,000,000 16,000,000
William Mundell Director - [D] 12,048 12,048
Daniel Nordloh VP Sales & Marketing - [O] 16,000 16,000
James Ozanne Director - [D] 80,362 80,362
Richard A Payne 364,462
Insider Lucro Médio (%) Ações
Possuídas
Ajuste
de Divisão
Jeffrey A Reichard Chief Technology Officer, Director - [D] [O] 80,000 80,000
Charles W Stankiewicz Executive VP - Operations, Director - [D] [O] 103,102 103,102
Theodore Stern Director - [D] 0 0
Scampini Scott W. Executive Vice President - [O] 85,095 85,095
Schott James F. Chief Financial Officer - [O] 100,000 100,000
Tony Siebert 0
Solar Power, Inc. 10% Owner - [10%] 16,000,000 16,000,000
Frederick Vaske Chief Administrative Officer - [O] 103,872 103,872
Dilek Wagner 25,000
Frederick Whisman VP - Sales - [O] 23,935 23,935

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Acompanhar Históricos de Compras de Insiders - Análise de Lucro a Curto Prazo

Nesta seção, analisamos a lucratividade de cada compra de insider não planejada, feita no mercado aberto em ESNC / EnSync, Inc.. Esta análise ajuda a entender se o insider gera consistentemente retornos anormais, e vale a pena ser seguido. Esta análise é para um ano após cada negociação, e os resultados são teóricos .

A tabela a seguir mostra as compras mais recentes no mercado aberto que não fizeram parte de um plano de negociação automática.

Data de Negociação Insider Reported
Shares
Preço
Reportado
Ações
Ajustadas
Preço
Ajustado
Base de Custo Dias até
Máx
Preço em
Máx
Lucro
Máximo ($)
Retorno Máximo (%)
2018-09-05 STERN THEODORE 192,308 0.2600 192,308 0.2600 50,000 0 0.3446 16,269 32.54
2018-09-05 ABDOO RICHARD A 769,231 0.2600 769,231 0.2600 200,000
2018-09-05 KOEPPE PAUL F 1,346,154 0.2600 1,346,154 0.2600 350,000
2017-11-22 ABDOO RICHARD A 3,802 0.4000 3,802 0.4000 1,521
2017-11-21 ABDOO RICHARD A 2,080 0.4000 2,080 0.4000 832
2017-11-16 ABDOO RICHARD A 29,392 0.4000 29,392 0.4000 11,757
2017-11-15 ABDOO RICHARD A 8,479 0.4000 8,479 0.4000 3,392
2017-11-14 ABDOO RICHARD A 17,900 0.4000 17,900 0.4000 7,160
2017-06-22 ABDOO RICHARD A 142,857 0.3500 142,857 0.3500 50,000

Preço Ajustado é o preço ajustado pelo desdobramento. Ações Ajustadas são as ações ajustadas pelo desdobramento.

ESNC / EnSync, Inc. Insider Trades
Acompanhar Históricos de Vendas de Insiders - Análise de Perda a Curto Prazo

Nesta seção, analisamos a evitação de perda de curto prazo de cada venda de insider não planejada, feita no mercado aberto em ESNC / EnSync, Inc.. Um padrão consistente de evitação de perdas pode sugerir que transações de venda futuras possam prever quedas no preço. Esta análise é para um ano após cada negociação, e os resultados são teóricos .

A tabela a seguir mostra as vendas mais recentes no mercado aberto que não fizeram parte de um plano de negociação automática.

Data de Negociação Insider Reported
Shares
Preço
Reportado
Ações
Ajustadas
Preço
Ajustado
Base de Custo Dias até
Mín
Preço em
Mín
Máxima Perda
Evitada ($)
Máxima Perda
Evitada (%)
2015-11-23 Birnbaum Manfred E 23,896 0.4800 23,896 0.4800 11,470 157 0.1900 -6,930 -60.42
2015-11-20 Birnbaum Manfred E 12,104 0.4800 12,104 0.4800 5,810
2013-12-27 Reichard Jeffrey A 10,000 0.9917 10,000 0.9917 9,917

Preço Ajustado é o preço ajustado pelo desdobramento. Ações Ajustadas são as ações ajustadas pelo desdobramento.

ESNC / EnSync, Inc. Insider Trades
Histórico de Transações

Clique no ícone de link para ver o histórico completo de transações. As transações relatadas como parte de um plano de negociação automática 10b5-1 terão um X na coluna marcada como 10b-5.

Arquivo
Data
Data da
Operação
Formulário Insider Ticker Título de Segurança Código 10b5-1 Direto Preço de Exercício
Preço Unitário
Preço por
Unidade
Unidades
Alteradas
Valor
Alterado (1K)
Opções
Restantes
Ações
Restantes
2019-01-24 2019-01-22 4 Hansen Bradley ESNC Restricted Stock Units M - Exercise D -166,667 333,333
2019-01-24 2019-01-22 4 Hansen Bradley ESNC Common Stock F - Taxes D 0.2000 -64,867 -13 433,700
2019-01-24 2019-01-22 4 Hansen Bradley ESNC Common Stock M - Exercise D 166,667 498,567
2019-01-17 2019-01-15 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 37,500 37,500
2019-01-17 2019-01-15 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 37,500 37,500
2019-01-17 2019-01-15 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 85,000 85,000
2019-01-17 2019-01-15 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 32,500 32,500
2019-01-08 2018-12-31 4 STERN THEODORE By Bomoseen Associates LP ESNC Series B Convertible Preferred Stock Units G - Gift I 0.95 -1,000 0
2019-01-08 2018-12-31 4 STERN THEODORE By Bomoseen Associates LP ESNC Common Stock G - Gift I -617,187 0
2018-12-12 2018-12-10 4 Hansen Bradley ESNC Restricted Stock Units M - Exercise D -250,000 250,000
2018-12-12 2018-12-10 4 Hansen Bradley ESNC Common Stock F - Taxes D 0.2000 -84,050 -17 331,900
2018-12-12 2018-12-10 4 Hansen Bradley ESNC Common Stock M - Exercise D 250,000 415,950
2018-11-15 2018-11-13 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 327,273 327,273
2018-11-15 2018-11-13 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 77,273 77,273
2018-11-15 2018-11-13 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 327,273 327,273
2018-11-15 2018-11-13 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 29,546 29,546
2018-11-15 2018-11-13 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 327,273 327,273
2018-11-15 2018-11-13 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 34,091 34,091
2018-11-15 2018-11-13 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 327,273 327,273
2018-11-15 2018-11-13 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 34,091 34,091
2018-10-02 2018-10-01 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -58,153 0
2018-10-02 2018-10-01 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -15,517 0
2018-10-02 2018-07-03 4 STERN THEODORE ESNC Common Stock A - Award D 73,670 858,249
2018-09-26 2018-09-24 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 22,414 22,414
2018-09-26 2018-09-24 4 Birnbaum Manfred E ESNC Restricted Stock Units A - Award D 0.00 25,862 25,862
2018-09-26 2018-09-24 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 58,621 58,621
2018-09-26 2018-09-24 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 25,862 25,862
2018-09-26 2018-09-24 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 15,517 15,517
2018-09-06 2018-09-05 4 ABDOO RICHARD A By Richard A. & Joan F. Abdoo Trust Dtd 9/8/2006 ESNC Common Stock P - Purchase I 0.2600 769,231 200 855,013
2018-09-06 2018-09-05 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.2600 1,346,154 350 2,387,593
2018-09-06 2018-09-05 4 STERN THEODORE By Theodore Stern Revocable Trust ESNC Common Stock P - Purchase I 0.2600 192,308 50 192,308
2018-07-03 2018-07-03 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -58,154 58,154
2018-07-03 2018-07-03 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -12,500 0
2018-07-03 2018-07-03 4 STERN THEODORE ESNC Common Stock A - Award D 70,654 784,579
2018-06-28 2018-06-26 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 18,056 18,056
2018-06-28 2018-06-26 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 20,833 20,833
2018-06-28 2018-06-26 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 12,500 12,500
2018-06-28 2018-06-26 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 47,222 47,222
2018-06-28 2018-06-26 4 Birnbaum Manfred E ESNC Restricted Stock Units A - Award D 0.00 20,833 20,833
2018-04-03 2018-03-31 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -58,154 116,307
2018-04-03 2018-03-31 4 STERN THEODORE ESNC Common Stock M - Exercise D 58,154 713,925
2018-02-13 2018-02-09 4 Dallapiazza William ESNC Stock Option (right to buy) A - Award D 0.37 120,000 120,000
2017-12-26 2017-12-21 4 Hansen Bradley ESNC Restricted Stock Units A - Award D 500,000 500,000
2017-12-26 2017-12-21 4 Hansen Bradley ESNC Restricted Stock Unitsi M - Exercise D -250,000 500,000
2017-12-26 2017-12-21 4 Hansen Bradley ESNC Common Stock F - Taxes D 0.4600 -84,050 -39 165,950
2017-12-26 2017-12-21 4 Hansen Bradley ESNC Common Stock M - Exercise D 250,000 250,000
2017-12-20 2017-12-19 4 Vaske Frederick ESNC Stock Option (right to buy) A - Award D 0.41 120,000 120,000
2017-12-20 2017-12-19 4 Whisman Frederick ESNC Stock Option (right to buy) A - Award D 0.41 90,000 90,000
2017-12-20 2017-12-19 4 Dennis Kevin ESNC Stock Option (right to buy) A - Award D 0.41 120,000 120,000
2017-12-20 2017-12-19 4 Nordloh Daniel ESNC Stock Option (right to buy) A - Award D 0.41 120,000 120,000
2017-11-24 2017-11-22 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.4000 3,802 2 868,180
2017-11-24 2017-11-21 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.4000 2,080 1 864,378
2017-11-20 2017-11-16 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.4000 29,392 12 862,298
2017-11-16 2017-11-14 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 232,615 232,615
2017-11-16 2017-11-14 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 232,615 232,615
2017-11-16 2017-11-14 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -58,154 174,461
2017-11-16 2017-11-14 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 232,615 232,615
2017-11-16 2017-11-14 4 STERN THEODORE ESNC Common Stock M - Exercise D 58,154 655,771
2017-11-16 2017-11-15 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.4000 8,479 3 832,906
2017-11-16 2017-11-14 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 232,615 232,615
2017-11-16 2017-11-14 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.4000 17,900 7 824,427
2017-11-16 2017-11-14 4 Birnbaum Manfred E ESNC Restricted Stock Units A - Award D 0.00 232,615 232,615
2017-10-03 2017-09-30 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D 0.00 -18,181 0
2017-10-03 2017-09-30 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 18,181 407,960
2017-10-03 2017-09-30 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -18,181 0
2017-10-03 2017-09-30 4 STERN THEODORE ESNC Common Stock M - Exercise D 18,181 597,617
2017-08-16 2016-06-28 4/A Nordloh Daniel ESNC Stock Option (right to buy) A - Award D 1.02 48,000 48,000
2017-08-16 2016-06-28 4/A Nordloh Daniel ESNC Stock Option (right to buy) A - Award D 0.37 360,000 360,000
2017-08-09 2017-05-05 4 Dennis Kevin ESNC Stock Option (right to buy) M - Exercise D 0.48 -252 59,748
2017-08-09 2017-05-05 4 Dennis Kevin ESNC Common Stock S - Sale D 0.8000 -252 -0 7,262
2017-08-09 2017-05-05 4 Dennis Kevin ESNC Common Stock M - Exercise D 0.4800 252 0 7,514
2017-07-12 2017-07-10 4 Melodious Investments Co Ltd ESNC Series C-2 Convertible Preferred Stock S - Sale D 0.67 1,033.6300 -4,341 -4,487 0
2017-07-12 2017-07-10 4 Melodious Investments Co Ltd ESNC Series C-1 Convertible Preferred Stock S - Sale D 0.67 1,033.6300 -7,012 -7,248 0
2017-07-12 2017-07-10 4 He Jilun By Melodious Investments Company Limited ESNC Series C-2 Convertible Preferred Stock S - Sale I 0.67 1,033.6300 -4,341 -4,487 0
2017-07-12 2017-07-10 4 He Jilun By Melodious Investments Company Limited ESNC Series C-1 Convertible Preferred Stock S - Sale I 0.67 1,033.6300 -7,012 -7,248 0
2017-07-12 2017-07-10 4 Melodious International Investments Group Ltd By Melodious Investments Company Limited ESNC Series C-2 Convertible Preferred Stock S - Sale I 0.67 1,033.6300 -4,341 -4,487 0
2017-07-12 2017-07-10 4 Melodious International Investments Group Ltd By Melodious Investments Company Limited ESNC Series C-1 Convertible Preferred Stock S - Sale I 0.67 1,033.6300 -7,012 -7,248 0
2017-07-05 2017-06-30 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -18,182 18,181
2017-07-05 2017-06-30 4 STERN THEODORE ESNC Common Stock M - Exercise D 18,182 579,436
2017-07-05 2017-06-30 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D 0.00 -18,182 18,181
2017-07-05 2017-06-30 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 18,182 389,779
2017-06-26 2017-06-22 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.3500 142,857 50 806,527
2017-06-26 2017-06-22 4 OZANNE JAMES ESNC Common Stock P - Purchase D 0.3500 28,500 10 80,362
2017-06-26 2017-06-22 4 STERN THEODORE ESNC Common Stock P - Purchase D 0.3500 214,285 75 561,254
2017-06-26 2017-06-22 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.3500 214,285 75 1,041,439
2017-04-03 2017-03-31 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D 0.00 -18,182 36,963
2017-04-03 2017-03-31 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 18,182 371,597
2017-04-03 2017-03-31 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -18,182 36,363
2017-04-03 2017-03-31 4 STERN THEODORE ESNC Common Stock M - Exercise D 18,182 346,969
2017-03-20 2017-03-17 4/A Birnbaum Manfred E ESNC Common Stock S - Sale D 0.5506 -16,502 -9 353,415
2017-03-20 2017-03-16 4/A Birnbaum Manfred E ESNC Common Stock S - Sale D 0.5673 -4,236 -2 369,917
2017-03-20 2017-03-15 4/A Birnbaum Manfred E ESNC Common Stock S - Sale D 0.5841 -3,434 -2 374,153
2017-03-17 2017-03-17 4 Birnbaum Manfred E ESNC Common Stock S - Sale D 0.5506 -16,502 -9 353,415
2017-03-17 2017-03-16 4 Birnbaum Manfred E ESNC Common Stock S - Sale D 0.5673 -4,236 -2 369,917
2017-03-17 2017-03-15 4 Birnbaum Manfred E ESNC Common Stock S - Sale D 0.5841 -3,434 -2 374,153
2016-11-23 2016-11-23 4 He Jilun ESNC Common Stock P - Purchase D 1.0420 425,097 443 8,550,993
2016-11-23 2016-11-22 4 He Jilun ESNC Common Stock P - Purchase D 0.9960 511,150 509 8,125,896
2016-11-23 2016-11-21 4 He Jilun ESNC Common Stock P - Purchase D 0.9360 70,563 66 7,614,746
2016-11-23 2016-10-25 4 He Jilun By Melodious Investments Company Limited ESNC Common Stock P - Purchase I 0.6800 8,000,000 5,440 8,000,000
2016-11-16 2016-11-14 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 72,727 72,727
2016-11-16 2016-11-14 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 72,727 72,727
2016-11-16 2016-11-14 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 72,727 72,727
2016-11-16 2016-11-14 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D 0.00 -18,182 54,545
2016-11-16 2016-11-14 4 Birnbaum Manfred E ESNC Restricted Stock Units A - Award D 0.00 72,727 72,727
2016-11-16 2016-11-14 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 18,182 377,587
2016-11-16 2016-11-14 4 Apfelbach Eric C ESNC Restricted Stock Units A - Award D 0.00 72,727 72,727
2016-11-16 2016-11-14 4 Hansen Bradley ESNC Restricted Stock Units A - Award D 0.00 750,000 750,000
2016-11-16 2016-11-14 4 Cheong Hoong Khoeng ESNC Restricted Stock Units A - Award D 0.00 145,455 145,455
2016-11-16 2016-11-14 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -18,182 54,545
2016-11-16 2016-11-14 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 72,727 72,727
2016-11-16 2016-11-14 4 STERN THEODORE ESNC Common Stock M - Exercise D 18,182 328,787
2016-11-14 2016-11-12 4 He Jilun ESNC Common Stock P - Purchase D 0.9000 361,384 325 7,544,183
2016-11-14 2016-11-11 4 He Jilun ESNC Common Stock P - Purchase D 0.8000 44,033 35 7,182,799
2016-11-14 2016-10-25 4 He Jilun By Melodious Investments Company Limited ESNC Common Stock P - Purchase I 0.6800 8,000,000 5,440 8,000,000
2016-11-09 2016-11-08 4 He Jilun ESNC Common Stock P - Purchase D 0.7440 141,200 105 7,138,766
2016-11-09 2016-11-07 4 He Jilun ESNC Common Stock P - Purchase D 0.7300 560,900 409 6,997,566
2016-11-09 2016-10-25 4 He Jilun By Melodious Investments Company Limited ESNC Common Stock P - Purchase I 0.6800 8,000,000 5,440 8,000,000
2016-10-18 2016-10-17 4 He Jilun ESNC Common Stock P - Purchase D 1.2740 600,837 765 6,436,666
2016-10-11 2016-10-08 4 He Jilun ESNC Common Stock P - Purchase D 1.0950 279,540 306 5,835,829
2016-10-11 2016-10-07 4 He Jilun ESNC Common Stock P - Purchase D 1.0514 364,746 383 5,556,289
2016-10-11 2016-10-06 4 He Jilun ESNC Common Stock P - Purchase D 0.9980 23,030 23 5,191,543
2016-10-03 2016-09-30 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D -36,000 0
2016-10-03 2016-09-30 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 36,000 359,405
2016-10-03 2016-09-30 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D -36,000 0
2016-10-03 2016-09-30 4 STERN THEODORE ESNC Common Stock M - Exercise D 36,000 310,605
2016-09-29 2016-09-29 4 He Jilun ESNC Common Stock P - Purchase D 0.9852 460,500 454 5,168,513
2016-09-29 2016-09-28 4 He Jilun ESNC Common Stock P - Purchase D 0.9444 196,610 186 4,708,013
2016-09-29 2016-09-27 4 He Jilun ESNC Common Stock P - Purchase D 0.9117 649,627 592 4,511,403
2016-09-23 3 Vaske Frederick ESNC Common Stock D 103,872
2016-09-23 3 Vaske Frederick ESNC Common Stock D 103,872
2016-09-23 2016-09-21 4 Vaske Frederick ESNC Stock Option (right to buy) A - Award D 0.88 120,000 120,000
2016-09-16 3 Melodious Investments Co Ltd ESNC Common Stock D 16,000,000
2016-09-16 3 Melodious Investments Co Ltd ESNC Common Stock D 16,000,000
2016-09-16 3 He Jilun By Melodious Investments Company Limited ESNC Common Stock I 19,861,776
2016-09-16 3 He Jilun ESNC Common Stock D 15,723,552
2016-09-16 3 He Jilun By Melodious Investments Company Limited ESNC Common Stock I 19,861,776
2016-09-16 3 He Jilun ESNC Common Stock D 15,723,552
2016-09-16 3 Melodious International Investments Group Ltd By Melodious Investments Company Limited ESNC Common Stock I 16,000,000
2016-09-16 3 Melodious International Investments Group Ltd By Melodious Investments Company Limited ESNC Common Stock I 16,000,000
2016-09-09 2015-11-17 4 Apfelbach Eric C ESNC Restricted Stock Units A - Award D 0.00 144,000 144,000
2016-07-01 2016-06-30 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D -36,000 36,000
2016-07-01 2016-06-30 4 STERN THEODORE ESNC Common Stock M - Exercise D 36,000 274,605
2016-06-30 2016-06-30 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D -36,000 36,000
2016-06-30 2016-06-30 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 36,000 323,405
2016-06-30 2016-06-28 4 Schott James F. ESNC Stock Option (right to buy) A - Award D 0.37 360,000 360,000
2016-06-30 2016-06-28 4 Dennis Kevin ESNC Stock Option (right to buy) A - Award D 0.37 360,000 360,000
2016-06-30 2016-06-28 4 Nordloh Daniel ESNC Stock Option (right to buy) A - Award D 0.37 360,000 360,000
2016-06-30 2016-06-29 4 Whisman Frederick ESNC Common Stock P - Purchase D 0.3600 3,827 1 23,935
2016-06-30 2016-06-28 4 Whisman Frederick ESNC Stock Option (right to buy) A - Award D 0.37 360,000 360,000
2016-06-30 2016-06-28 4 Whisman Frederick ESNC Common Stock P - Purchase D 0.3100 108 0 20,108
2016-05-23 2016-05-20 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.3650 10,000 4 827,154
2016-05-23 2016-05-19 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.3726 20,000 7 817,154
2016-05-18 2016-05-17 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.3327 13,866 5 797,154
2016-05-18 2016-05-16 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.2953 11,134 3 783,288
2016-05-16 2016-05-13 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.2999 100,000 30 663,670
2016-05-16 2016-05-13 4 Whisman Frederick ESNC Common Stock P - Purchase D 0.2900 20,000 6 20,000
2016-04-06 2016-03-31 4/A STERN THEODORE ESNC Restricted Stock Units M - Exercise D -36,000 72,000
2016-04-06 2016-03-31 4/A STERN THEODORE ESNC Common Stock M - Exercise D 36,000 238,605
2016-04-04 2016-03-31 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D -36,000 72,000
2016-04-04 2016-03-31 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 36,000 287,405
2016-04-04 2016-03-31 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D -36,000 72,000
2016-04-04 2016-03-31 4 STERN THEODORE ESNC Common Stock M - Exercise D 36,000 855,792
2016-02-24 2016-02-24 4 Schott James F. ESNC Common Stock P - Purchase D 0.2700 37,582 10 100,000
2016-02-24 2016-02-23 4 Schott James F. ESNC Common Stock P - Purchase D 0.2896 12,418 4 62,418
2016-02-23 2016-02-22 4 Schott James F. ESNC Common Stock P - Purchase D 0.3000 25,000 8 50,000
2016-02-22 2016-02-19 4 Schott James F. ESNC Common Stock P - Purchase D 0.3174 25,000 8 25,000
2015-12-16 2015-12-16 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.3650 30,269 11 772,154
2015-12-16 2015-12-16 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.3800 50,000 19 741,885
2015-12-16 2015-12-16 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.4000 50,000 20 691,885
2015-12-16 2015-12-14 4 KOEPPE PAUL F ESNC Common Stock P - Purchase D 0.3900 50,000 20 641,885
2015-12-14 2015-12-11 4 ABDOO RICHARD A ESNC Common Stock P - Purchase D 0.3997 100,000 40 563,670
2015-11-24 2015-11-23 4 Birnbaum Manfred E ESNC Common Stock S - Sale D 0.4800 -23,896 -11 251,405
2015-11-24 2015-11-20 4 Birnbaum Manfred E ESNC Common Stock S - Sale D 0.4800 -12,104 -6 275,301
2015-11-19 2015-11-17 4 Whisman Frederick ESNC Stock Option (right to buy) A - Award D 0.50 360,000 360,000
2015-11-19 2015-11-17 4 STERN THEODORE ESNC Restricted Stock Units M - Exercise D 0.00 -36,000 108,000
2015-11-19 2015-11-17 4 STERN THEODORE ESNC Restricted Stock Units A - Award D 0.00 144,000 144,000
2015-11-19 2015-11-17 4 STERN THEODORE ESNC Common Stock M - Exercise D 36,000 202,605
2015-11-19 2015-11-17 4 OZANNE JAMES ESNC Restricted Stock Units A - Award D 0.00 144,000 144,000
2015-11-19 2015-11-17 4 Nordloh Daniel ESNC Stock Option (right to buy) A - Award D 0.78 6,000 6,000
2015-11-19 2015-11-17 4 KOEPPE PAUL F ESNC Restricted Stock Units A - Award D 0.00 144,000 144,000
2015-11-19 2015-11-17 4 Dennis Kevin ESNC Stock Option (right to buy) A - Award D 0.48 60,000 60,000
2015-11-19 2015-11-17 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D 0.00 -36,000 108,000
2015-11-19 2015-11-17 4 Birnbaum Manfred E ESNC Restricted Stock Units A - Award D 0.00 144,000 144,000
2015-11-19 2015-11-17 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 36,000 287,405
2015-11-19 2015-11-17 4 Hansen Bradley ESNC Restricted Stock Units A - Award D 0.00 750,000 750,000
2015-11-19 2015-11-17 4 ABDOO RICHARD A ESNC Restricted Stock Units A - Award D 0.00 144,000 144,000
2015-10-22 2015-10-20 4 Schott James F. ESNC Stock Option (right to buy) A - Award D 0.57 360,000 360,000
2015-10-01 2015-09-30 4 Birnbaum Manfred E ESNC Restricted Stock Units M - Exercise D 0.00 -28,125 0
2015-10-01 2015-09-30 4 Birnbaum Manfred E ESNC Common Stock M - Exercise D 28,125 251,405
2015-09-21 2015-09-17 4 Hansen Bradley ESNC Restricted Stock Units A - Award D 270,000 270,000
2015-08-13 2015-08-11 4 Nordloh Daniel ZBB Stock Option (right to buy) A - Award D 0.76 360,000 360,000
2015-08-13 2015-08-11 4 Dennis Kevin ZBB Stock Option (right to buy) A - Award D 0.76 360,000 360,000
2015-07-16 3 Solar Power, Inc. ZBB Common Stock, par value $0.01 per share ("Common Stock") D 16,000,000
2015-07-16 3 Solar Power, Inc. ZBB Common Stock, par value $0.01 per share ("Common Stock") D 16,000,000
2015-07-15 2015-07-13 4 Apfelbach Eric C ZBB Stock Option (right to buy) A - Award D 0.85 75,000 75,000
2015-07-01 2015-06-30 4 Birnbaum Manfred E ZBB Restricted Stock Units M - Exercise D 0.00 -28,125 28,125
2015-07-01 2015-06-30 4 Birnbaum Manfred E ZBB Common Stock M - Exercise D 28,125 223,280
2015-06-25 2015-06-23 4/A Dennis Kevin ZBB Stock Option (right to buy) A - Award D 0.91 -360,000 0
2015-06-25 2015-06-23 4/A Nordloh Daniel ZBB Stock Option (right to buy) A - Award D 0.91 -360,000 0
2015-06-25 2015-06-23 4 Dennis Kevin ZBB Stock Option (right to buy) A - Award D 0.91 360,000 360,000
2015-06-25 2015-06-23 4 Nordloh Daniel ZBB Stock Option (right to buy) A - Award D 0.91 360,000 360,000
2015-04-02 2015-03-31 4 Birnbaum Manfred E ZBB Restricted Stock Units M - Exercise D 0.00 -28,125 56,250
2015-04-02 2015-03-31 4 Birnbaum Manfred E ZBB Common Stock M - Exercise D 28,125 195,155
2014-12-19 2014-12-18 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.5663 10,000 6 591,885
2014-12-19 2014-12-18 4 Birnbaum Manfred E ZBB Common Stock P - Purchase D 0.5680 10,000 6 167,030
2014-12-12 2014-12-11 4 STERN THEODORE ZBB Common Stock P - Purchase D 0.5100 20,000 10 166,605
2014-12-12 2014-12-10 4 STERN THEODORE ZBB Common Stock P - Purchase D 0.5100 20,000 10 146,605
2014-11-20 2014-11-18 4 STERN THEODORE ZBB Restricted Stock Units A - Award D 0.00 112,500 112,500
2014-11-20 2014-11-18 4 ABDOO RICHARD A ZBB Restricted Stock Units A - Award D 0.00 112,500 112,500
2014-11-20 2014-11-18 4 Wagner Dilek ZBB Stock Option (right to buy) A - Award D 0.61 25,000 25,000
2014-11-20 2013-11-05 4 Wagner Dilek ZBB Stock Option (right to buy) A - Award D 0.78 6,000 6,000
2014-11-20 2013-11-05 4 Dennis Kevin ZBB Stock Option (right to buy) A - Award D 0.78 50,000 50,000
2014-11-20 2014-11-18 4 OZANNE JAMES ZBB Restricted Stock Units A - Award D 0.00 112,500 112,500
2014-11-20 2014-11-18 4 KOEPPE PAUL F ZBB Restricted Stock Units A - Award D 0.00 112,500 112,500
2014-11-20 2014-11-18 4 Birnbaum Manfred E ZBB Restricted Stock Units M - Exercise D 0.00 -28,125 84,375
2014-11-20 2014-11-18 4 Birnbaum Manfred E ZBB Restricted Stock Units A - Award D 0.00 112,500 112,500
2014-11-20 2014-11-18 4 Birnbaum Manfred E ZBB Common Stock M - Exercise D 28,125 157,030
2014-10-15 2014-10-14 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.6760 20,000 14 581,885
2014-10-14 2014-10-13 4 ABDOO RICHARD A ZBB Common Stock P - Purchase D 0.6553 120,700 79 463,670
2014-10-10 2014-10-10 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.6301 10,000 6 561,885
2014-10-10 2014-10-09 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.6377 10,000 6 551,885
2014-10-08 2014-10-03 4 Birnbaum Manfred E ZBB Common Stock P - Purchase D 0.6800 10,000 7 128,805
2014-10-03 2014-10-01 4 ABDOO RICHARD A ZBB Common Stock P - Purchase D 0.6784 145,000 98 342,970
2014-10-03 2014-10-03 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.6494 10,100 7 541,885
2014-10-03 2014-10-02 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.6604 10,000 7 531,785
2014-10-03 2014-10-01 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.7777 10,000 8 521,785
2014-10-03 2014-10-01 4 STERN THEODORE ZBB Common Stock P - Purchase D 0.6000 51,065 31 126,605
2014-09-30 2014-09-30 4 Birnbaum Manfred E ZBB Restricted Stock Units M - Exercise D 0.00 -22,785 0
2014-09-30 2014-09-30 4 Birnbaum Manfred E ZBB Common Stock M - Exercise D 22,785 118,905
2014-07-02 2014-06-30 4 Birnbaum Manfred E ZBB Restricted Stock Units M - Exercise D 0.00 -22,785 22,785
2014-07-02 2014-06-30 4 Birnbaum Manfred E ZBB Common Stock M - Exercise D 22,785 96,120
2014-07-01 2014-06-27 4/A Apfelbach Eric C ZBB Common Stock S - Sale D 1.7528 -4,830 -8 153,364
2014-07-01 2014-06-26 4/A Apfelbach Eric C ZBB Common Stock S - Sale D 1.6974 -23,990 -41 158,194
2014-07-01 2014-06-25 4/A Apfelbach Eric C ZBB Common Stock S - Sale D 1.6650 -23,989 -40 182,184
2014-07-01 2014-06-24 4/A Apfelbach Eric C ZBB Restricted Stock Units M - Exercise D -200,000 0
2014-07-01 2014-06-24 4/A Apfelbach Eric C ZBB Common Stock S - Sale D 1.6985 -23,989 -41 206,173
2014-07-01 2014-06-24 4/A Apfelbach Eric C ZBB Common Stock M - Exercise D 200,000 230,162
2014-06-26 2014-06-26 4 Apfelbach Eric C ZBB Common Stock S - Sale D 1.6974 -23,990 -41 158,194
2014-06-26 2014-06-25 4 Apfelbach Eric C ZBB Common Stock S - Sale D 1.6650 -23,989 -40 182,184
2014-06-26 2014-06-24 4 Apfelbach Eric C ZBB Restricted Stock Units M - Exercise D -200,000 0
2014-06-26 2014-06-24 4 Apfelbach Eric C ZBB Common Stock S - Sale D 1.6985 -23,989 -41 206,173
2014-06-26 2014-06-23 4 Apfelbach Eric C ZBB Common Stock M - Exercise D 200,000 230,162
2014-05-21 2014-05-19 4 Hansen Bradley ZBB Stock Option (right to buy) A - Award D 1.72 360,000 360,000
2014-04-11 2014-04-09 4 Apfelbach Eric C ZBB Restricted Stock Units A - Award D 200,000 200,000
2014-04-02 2014-03-31 4 Birnbaum Manfred E ZBB Restricted Stock Units M - Exercise D 0.00 -22,785 45,570
2014-04-02 2014-03-31 4 Birnbaum Manfred E ZBB Common Stock M - Exercise D 22,785 73,335
2014-03-21 2014-03-19 4 STERN THEODORE By Bomoseen Associates LP ZBB Common Stock Warrants (right to buy) X - Other I 0.95 -1,052,632 0
2014-03-21 2014-03-19 4 STERN THEODORE By Bomoseen Associates LP ZBB Common Stock X - Other I 0.9500 617,187 586 692,727
2014-02-26 2014-02-24 4 Wagner Dilek ZBB Stock Option (right to buy) A - Award D 0.84 40,000 40,000
2014-01-17 2014-01-15 4 STANKIEWICZ CHARLES W ZBB Restricted Stock Units A - Award D 100,000 100,000
2014-01-17 2014-01-15 4 Apfelbach Eric C ZBB Restricted Stock Units A - Award D 100,000 100,000
2014-01-14 2014-01-13 4/A HOGOBOOM WILLIAM C ZBB Common Stock P - Purchase D 0.9100 11,000 10 39,146
2014-01-13 2014-01-13 4 HOGOBOOM WILLIAM C ZBB Common Stock P - Purchase D 0.9100 -11,000 -10 39,146
2014-01-08 2014-01-08 4 HOGOBOOM WILLIAM C ZBB Common Stock P - Purchase D 0.9183 10,000 9 28,146
2013-12-27 2013-12-27 4 Reichard Jeffrey A ZBB Common Stock S - Sale D 0.9917 -10,000 -10 80,000
2013-12-26 2013-12-26 4 Reichard Jeffrey A ZBB Common Stock S - Sale D 0.9523 -20,000 -19 90,000
2013-12-26 2013-12-24 4 Reichard Jeffrey A ZBB Common Stock S - Sale D 0.9500 -20,000 -19 110,000
2013-12-26 2013-12-23 4 Reichard Jeffrey A ZBB Common Stock S - Sale D 0.9634 -10,000 -10 130,000
2013-12-26 2013-12-23 4 Reichard Jeffrey A ZBB Common Stock S - Sale D 0.8591 -20,000 -17 140,000
2013-12-23 2013-12-20 4 ABDOO RICHARD A ZBB Restricted Stock Units A - Award D 0.00 91,140 91,140
2013-12-23 2013-12-20 4 OZANNE JAMES ZBB Restricted Stock Units A - Award D 0.00 91,140 91,140
2013-12-23 2013-12-20 4 KOEPPE PAUL F ZBB Restricted Stock Units A - Award D 0.00 91,140 91,140
2013-12-23 2013-12-20 4 Birnbaum Manfred E ZBB Restricted Stock Units M - Exercise D 0.00 -22,785 68,355
2013-12-23 2013-12-20 4 Birnbaum Manfred E ZBB Restricted Stock Units A - Award D 0.00 91,140 91,140
2013-12-23 2013-12-20 4 Birnbaum Manfred E ZBB Common Stock M - Exercise D 22,785 50,550
2013-12-23 3 STERN THEODORE ZBB Common Stock D 75,540
2013-12-23 2013-12-20 4 STERN THEODORE ZBB Stock Option (right to buy) A - Award D 0.88 15,000 15,000
2013-12-23 2013-12-20 4 STERN THEODORE ZBB Restricted Stock Units A - Award D 0.00 91,140 91,140
2013-12-19 2013-12-19 4 Apfelbach Eric C ZBB Common Stock P - Purchase D 0.8000 10,000 8 30,162
2013-10-03 2013-09-27 4 ABDOO RICHARD A ZBB Common Stock Warrants (right to buy) P - Purchase D 0.19 1,375,789 1,375,789
2013-10-03 2013-09-27 4 ABDOO RICHARD A ZBB Series B Convertible Preferred Stock P - Purchase D 0.19 250 1,375,789
2013-10-03 2013-09-27 4 KOEPPE PAUL F ZBB Common Stock Warrants (right to buy) P - Purchase D 0.19 1,315,789 1,315,789
2013-10-03 2013-09-27 4 KOEPPE PAUL F ZBB Series B Convertible Preferred Stock P - Purchase D 0.19 250 1,315,789
2013-09-13 2013-09-11 4 Birnbaum Manfred E ZBB Restricted Stock Units A - Award D 0.00 25,000 25,000
2013-01-22 2013-01-15 4 Reichard Jeffrey A ZBB Restricted Stock Units A - Award D 200,000 200,000
2012-11-09 2012-11-07 4 ABDOO RICHARD A ZBB Restricted Stock Units A - Award D 0.00 210,526 210,526
2012-11-09 2012-11-07 4 OZANNE JAMES ZBB Restricted Stock Units A - Award D 0.00 221,053 221,053
2012-11-09 2012-11-07 4 KOEPPE PAUL F ZBB Restricted Stock Units A - Award D 0.00 268,421 268,421
2012-11-09 2012-11-07 4 Payne Richard A ZBB Restricted Stock Units A - Award D 0.00 189,474 189,474
2012-11-09 2012-11-07 4 Birnbaum Manfred E ZBB Restricted Stock Units A - Award D 0.00 210,526 210,526
2012-10-02 2012-09-30 4 Apfelbach Eric C ZBB Restricted Stock Units A - Award D 450,000 450,000
2012-09-10 2012-09-06 4 Dennis Kevin ZBB Stock Option (right to buy) A - Award D 0.38 90,000 90,000
2012-09-10 2012-09-06 4 Nordloh Daniel ZBB Stock Option (right to buy) A - Award D 0.38 20,000 20,000
2012-09-10 2012-09-06 4 HOGOBOOM WILLIAM C ZBB Zero Coupon Convertible Notes A - Award D 0.38 20,000 20,000
2012-08-28 2012-08-24 4 Siebert Tony ZBB Stock Option (right to buy) A - Award D 0.38 50,000 50,000
2012-08-28 2012-08-24 4 Siebert Tony ZBB Stock Option (right to buy) A - Award D 0.38 150,000 150,000
2012-08-14 2012-04-01 4 MARATHON CAPITAL MANAGEMENT ZBB ZBB Energy Corp. J - Other D 0 8,328,651
2012-07-03 2012-07-03 4 STANKIEWICZ CHARLES W ZBB Stock Option (right to buy) A - Award D 0.38 100,000 100,000
2012-06-21 2012-06-14 4/A MARATHON CAPITAL MANAGEMENT ZBB ZBB Energy Corp P - Purchase D 0.3800 3,465,000 1,317 8,372,765
2012-06-21 2012-06-19 4 ABDOO RICHARD A ZBB Zero Coupon Convertible Notes D - Sale to Issuer D 0.53 55,000.0000
2012-06-21 2012-06-19 4 STANKIEWICZ CHARLES W ZBB Zero Coupon Convertible Notes D - Sale to Issuer D 0.53 55,000.0000
2012-06-21 2012-06-19 4 KOEPPE PAUL F ZBB Zero Coupon Convertible Notes D - Sale to Issuer D 0.53 220,000.0000
2012-06-21 2012-06-19 4 Apfelbach Eric C ZBB Zero Coupon Convertible Notes D - Sale to Issuer D 0.53 22,000.0000
2012-06-21 2012-06-19 4 HOGOBOOM WILLIAM C ZBB Zero Coupon Convertible Notes D - Sale to Issuer D 0.53 11,000.0000
2012-06-20 2012-06-14 4 MARATHON CAPITAL MANAGEMENT ZBB ZBB Energy Corp. P - Purchase D 0.3800 3,242,500 1,232 8,150,265
2012-06-15 2012-06-14 4 ABDOO RICHARD A ZBB Common Stock P - Purchase D 0.3800 263,157 100 989,851
2012-06-15 2012-06-14 4 STANKIEWICZ CHARLES W ZBB Common Stock P - Purchase D 0.3800 65,789 25 103,102
2012-06-15 2012-06-14 4 OZANNE JAMES ZBB Common Stock P - Purchase D 0.3800 197,000 75 259,313
2012-06-15 2012-06-14 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.3800 1,063,157 404 2,558,927
2012-06-15 2012-06-14 4 Apfelbach Eric C ZBB Common Stock P - Purchase D 0.3800 57,894 22 100,812
2012-06-15 2012-06-14 4 HOGOBOOM WILLIAM C ZBB Common Stock P - Purchase D 0.3800 28,947 11 90,734
2012-05-14 2012-05-11 4 Birnbaum Manfred E ZBB Common Stock P - Purchase D 0.4670 5,000 2 138,828
2012-05-03 2012-05-01 4 ABDOO RICHARD A ZBB Zero Coupon Convertible Notes P - Purchase D 0.53 51,887
2012-05-03 2012-05-01 4 ABDOO RICHARD A ZBB Common Stock Warrants (right to buy) P - Purchase D 0.53 51,887 51,887
2012-05-03 2012-05-01 4 STANKIEWICZ CHARLES W ZBB Zero Coupon Convertible Notes P - Purchase D 0.53 51,887
2012-05-03 2012-05-01 4 STANKIEWICZ CHARLES W ZBB Common Stock Warrants (right to buy) P - Purchase D 0.53 51,887 51,887
2012-05-03 2012-05-01 4 KOEPPE PAUL F ZBB Zero Coupon Convertible Notes P - Purchase D 0.53 207,547
2012-05-03 2012-05-01 4 KOEPPE PAUL F ZBB Common Stock Warrants (right to buy) P - Purchase D 0.53 207,547 207,547
2012-05-03 2012-05-01 4 Apfelbach Eric C ZBB Common Stock Warrants (right to buy) P - Purchase D 0.53 20,755 20,755
2012-05-03 2012-05-01 4 Apfelbach Eric C ZBB Zero Coupon Convertible Notes P - Purchase D 0.53 20,755
2012-05-03 2012-05-01 4 HOGOBOOM WILLIAM C ZBB Common Stock Warrants (right to buy) P - Purchase D 0.53 10,377 10,377
2012-05-03 2012-05-01 4 HOGOBOOM WILLIAM C ZBB Zero Coupon Convertible Notes P - Purchase D 0.53 10,377
2012-03-19 2012-03-16 4 Apfelbach Eric C ZBB Common Stock P - Purchase D 0.6650 5,000 3 42,918
2012-02-02 2012-01-31 4 ABDOO RICHARD A ZBB Common Stock P - Purchase D 0.8000 31,250 25 726,694
2012-02-02 2012-01-31 4 OZANNE JAMES ZBB Common Stock P - Purchase D 0.8000 25,000 20 62,313
2012-02-02 2012-01-31 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.8000 125,000 100 1,495,770
2012-02-02 2012-01-31 4 Scampini Scott W. ZBB Common Stock P - Purchase D 0.8000 12,500 10 85,095
2012-02-01 2012-01-30 4 MARATHON CAPITAL MANAGEMENT ZBB ZBB Energy Corp. S - Sale D 0.8200 -1,500 -1 4,907,765
2012-01-13 2012-01-11 4 Scampini Scott W. ZBB Stock Option (right to buy) A - Award D 0.76 40,000 40,000
2012-01-13 2012-01-11 4 Dennis Kevin ZBB Stock Option (right to buy) A - Award D 0.76 40,000 40,000
2012-01-13 2012-01-11 4 Nordloh Daniel ZBB Stock Option (right to buy) A - Award D 0.76 40,000 40,000
2012-01-13 2012-01-11 4 HOGOBOOM WILLIAM C ZBB Stock Option (right to buy) A - Award D 0.76 40,000 40,000
2011-09-23 2011-09-22 4 Apfelbach Eric C ZBB Common Stock P - Purchase D 0.7000 5,000 4 37,918
2011-09-23 2011-09-23 4 Reichard Jeffrey A ZBB Common Stock P - Purchase D 0.7300 7,500 5 15,652
2011-09-22 2011-09-22 4 Nordloh Daniel ZBB Common Stock P - Purchase D 0.7300 15,000 11 16,000
2011-09-21 2011-09-20 4 ABDOO RICHARD A ZBB Common Stock P - Purchase D 0.7500 50,000 38 624,797
2011-09-21 2011-09-21 4 Birnbaum Manfred E ZBB Common Stock P - Purchase D 0.7500 5,000 4 120,493
2011-09-19 2011-09-16 4 KOEPPE PAUL F ZBB Common Stock P - Purchase D 0.8200 10,000 8 1,150,123
2010-10-25 3 HEMPLEMAN PHILIP J See ZBB Common Stock, $0.01 par value ("Common Stock") I 2,857,831
2010-03-23 2010-03-19 4 Mundell William ZBB COMMON STOCK P - Purchase D 0.8300 12,048 10 12,048
2010-03-23 2010-03-19 4 Apfelbach Eric C ZBB COMMON STOCK P - Purchase D 0.8300 12,048 10 12,048
2010-03-23 2010-03-19 4 KOEPPE PAUL F ZBB COMMON STOCK P - Purchase D 0.8300 120,481 100 145,481
2010-03-23 2010-03-19 4 Scampini Scott W. ZBB COMMON STOCK P - Purchase D 0.8300 12,048 10 12,048
2010-01-08 3 Apfelbach Eric C ZBB Common Stock D 0
2009-08-20 2009-08-18 4 GLG Partners LP ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.3545 -10,000 -14 1,177,955
2009-08-05 2009-08-04 4 GLG Partners LP (1)(2) ZBB Common Stock S - Sale I 1.3503 -43,000 -58 1,187,955
2009-08-05 2009-08-03 4 GLG Partners LP (1)(2) ZBB Common Stock S - Sale I 1.3592 -7,100 -10 1,230,955
2009-08-05 2009-08-03 4 GLG Partners LP (1)(2) ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.3500 -2,550 -3 1,238,055
2009-06-15 2009-06-11 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.4924 -27,000 -40 1,240,605
2009-06-09 2009-06-05 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.6500 -3,800 -6 1,267,605
2009-05-29 2009-05-29 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.6000 -16,800 -27 1,289,405
2009-05-29 2009-05-28 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.6176 -3,065 -5 1,306,205
2009-05-29 2009-05-28 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.6488 -42,000 -69 1,309,270
2009-05-29 2009-05-27 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.4261 -13,400 -19 1,351,270
2009-05-26 2009-05-26 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.5006 -5,000 -8 1,364,670
2009-05-26 2009-05-26 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.5069 -22,400 -34 1,369,670
2009-05-26 2009-05-26 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.5086 -11,050 -17 1,392,070
2009-05-26 2009-05-26 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.4115 -88,000 -124 1,403,120
2009-05-26 2009-05-22 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.2384 -19,200 -24 1,491,120
2009-05-26 2009-05-22 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.2343 -50,000 -62 1,510,320
2009-05-26 2009-05-21 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.2453 -16,190 -20 1,560,320
2009-05-26 2009-05-21 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.2505 -9,600 -12 1,576,510
2009-05-06 2009-05-06 4 GLG Partners LP ZBB Common Stock S - Sale I 1.2762 -3,900 -5 1,586,110
2009-05-06 2009-05-04 4 GLG Partners LP ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.3400 -19,951 -27 1,590,010
2009-04-28 2009-04-24 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.5750 -4,481 -7 1,609,961
2009-04-28 2009-04-24 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.5721 -2,850 -4 1,614,442
2009-04-23 2009-04-23 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.4782 -10,800 -16 1,617,292
2009-04-23 2009-04-22 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.3883 -2,724 -4 1,628,092
2009-04-23 2009-04-21 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 1.3586 -11,400 -15 1,630,816
2009-04-23 2009-04-21 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.3252 -40,100 -53 1,642,216
2009-04-17 2009-04-17 4 GLG Partners LP (1)(2) ZBB Common Stock S - Sale I 1.1280 -10,500 -12 1,682,316
2009-04-17 2009-04-16 4 GLG Partners LP (1)(2) ZBB Common Stock S - Sale I 1.0804 -6,227 -7 1,692,816
2009-04-17 2009-04-15 4 GLG Partners LP (1)(2) ZBB Common Stock S - Sale I 1.0622 -7,700 -8 1,699,043
2009-04-17 2009-04-15 4 GLG Partners LP (1)(2) ZBB Common Stock S - Sale I 1.0500 -900 -1 1,706,743
2009-04-17 2009-04-15 4 GLG Partners LP (1)(2) ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.0200 -350 -0 1,707,643
2009-04-15 2009-04-14 4 GLG Partners LP See ZBB Common Stock S - Sale I 1.0082 -3,700 -4 1,707,993
2009-04-15 2009-04-13 4 GLG Partners LP See ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.0000 -1,250 -1 1,711,693
2008-10-07 2008-10-06 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 1.9000 -140 -0 1,712,943
2008-05-05 2008-04-29 4/A GLG Partners LP See footnotes ZBB Common Stock P - Purchase I 3.0000 15,853 48 1,712,943
2008-05-05 2008-04-29 4/A GLG Partners LP See footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 3.0000 -15,853 -48 1,712,943
2008-05-01 2008-04-29 4 GLG Partners LP See Footnotes ZBB Common Stock P - Purchase I 3.0000 15,853 48 1,712,943
2008-05-01 2008-04-29 4 GLG Partners LP See Footnotes ZBB Common Stock S - Sale I 3.0000 -15,853 -48 1,712,943
2008-05-01 2008-04-29 4 GLG Partners LP See Footnotes ZBB Common Stock P - Purchase I 3.0000 745,193 2,236 1,712,943
2008-05-01 2008-04-29 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 3.0000 -745,193 -2,236 1,712,943
2008-03-31 2008-03-28 4 GLG Partners LP See footnotes ZBB Common Stock P - Purchase I 3.0000 1,003,164 3,009 1,712,943
2008-03-31 2008-03-28 4 GLG Partners LP See footnotes ZBB Common Stock, par value $0.01 ("Common Stock") S - Sale I 3.0000 -1,003,164 -3,009 1,712,943
2008-03-11 3 Scampini Scott W. By Living Trust ZBB Common Stock I 8,566
2008-01-07 3 Birnbaum Manfred E ZBB Common Stock D 500
2007-11-08 3/A GLG Partners LTD ZBB Common Stock, par value $0.01 (the "Common Stock") I 1,666,666
2007-11-08 2007-06-18 4/A GLG Partners LP ZBB Common Stock, par value $0.01 (the "Common Stock") P - Purchase I 5.7000 2,250 13 1,668,916
2007-11-08 2007-06-25 4/A GLG Partners LP ZBB Common Stock P - Purchase I 5.6200 872 5 1,673,093
2007-11-08 2007-06-22 4/A GLG Partners LP ZBB Common Stock, par value $0.01 (the "Common Stock") P - Purchase I 5.6400 3,305 19 1,672,221
2007-11-08 2007-08-13 4/A GLG Partners LP ZBB Common Stock P - Purchase I 4.1100 32,100 132 1,715,193
2007-11-08 2007-08-13 4/A GLG Partners LP ZBB Common Stock, par value $0.01 (the "Common Stock") P - Purchase I 4.4900 10,000 45 1,683,093
2007-11-08 2007-09-07 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 (the "Common Stock") S - Sale I 3.5300 -2,250 -8 1,712,943
2007-07-10 2007-06-25 4 GLG Partners LP See Footnotes ZBB Common Stock P - Purchase I 5.6400 3,305 19 1,680,093
2007-07-10 2007-06-22 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 (the "Common Stock") P - Purchase I 5.6200 872 5 1,676,788
2007-06-20 3 GLG Partners LP See footnotes ZBB Common stock, par value $0.01 (the "Common Stock") I 1,666,666
2007-06-20 2007-06-18 4 GLG Partners LP See Footnotes ZBB Common Stock, par value $0.01 (the "Common Stock") P - Purchase I 5.7000 9,250 53 1,675,916
P
Compra de mercado aberto ou privada de ativo não-derivativo ou derivativo
S
Venda de mercado aberto ou privada de ativo não-derivativo ou derivativo
A
Concessão, premiação, ou outra aquisição de ativos da empresa (como uma opção)
C
Conversão de derivativo
D
Venda ou transferência de ativos de volta para a empresa
F
Pagamento do preço de exercício ou responsabilidade fiscal utilizando parte dos ativos recebidos da empresa
G
Doação de ativos pelo ou para o insider
K
Swaps de capital e transações de hedge similares
M
Exercício ou conversão de ativo derivativo recebido da empresa (como uma opção)
V
Uma transação voluntariamente reportada no Formulário 4
J
Outro (acompanhado de uma nota explicativa descrevendo a transação)
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