ESNC / EnSync, Inc. - SEC备案- 年度报告、委托书

Bankruptcy or Receivership

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 19a34 Date of report (Date of earliest event reported): March 25, 2019 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number)

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC (the 'Exchange' or 'NYSE American') hereby notifies the Securities and Exchange Commission ('SEC') of its intention to remove the entire class of Common Stock (the 'Common Stock') of EnSync, Inc.

Bankruptcy or Receivership

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): March 12, 2019 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number) (

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): February 26, 2019 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events

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): February 18, 2019 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

ESNC / EnSync, Inc. NT 10-Q

SEC File Number: 001-33540 CUSIP Number: 29359T 102 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events

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): February 11, 2019 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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): January 23, 2019 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number)

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

8-K 1 tv5109308k.htm FORM 8-K 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): January 7, 2019 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporat

Form of Nonstatutory Stock Option Agreement, filed herewith

Exhibit 4.21 ENSYNC, INC. NONSTATUTORY STOCK OPTION AGREEMENT This Nonstatutory Stock Option Agreement (this “Agreement”) is executed as of [●], by and between ENSYNC, INC., a Wisconsin corporation (the “Company”), and [●] (“Employee”). WITNESSETH: WHEREAS, the Company wishes to grant Employee a Nonstatutory Stock Option in conjunction with Employee’s appointment as [●], subject to the terms provi

ESNC / EnSync, Inc. FORM S-8

S-8 1 tv507256s-8.htm FORM S-8 As Filed With the Securities and Exchange Commission on November 14, 2018 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ENSYNC, INC. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of incorporation o

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders

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 13, 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

Current Report

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

EnSync Energy Reports First Quarter of Fiscal Year 2019 Results Management to Host Conference Call Today at 4:30 p.m. ET (3:30 p.m. CT)

Exhibit 99 EnSync Energy Reports First Quarter of Fiscal Year 2019 Results Management to Host Conference Call Today at 4:30 p.

Director Compensation Policy

Exhibit 10.3 EnSync, Inc. Director Compensation Policy Members of the Board of Directors (the “Board”) of EnSync, Inc. (the “Company”) who are not officers or employees of the Company or any subsidiary of the Company (“non-employee directors”) shall be paid the following amounts in consideration for their services on the Board: (i) An annual equity retainer in the amount of $72,000, to be awarded

ESNC / EnSync, Inc. FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identifi

Amendment No. 4 to EnSync, Inc. 2012 Non-Employee Director Equity Compensation Plan (previously filed as Appendix B to the Proxy Statement for the Company’s 2018 Annual Meeting of Stockholders filed on October 10, 2018, which is incorporated herein by reference)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): September 25, 2018 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file numbe

EnSync Energy Reports Fourth Quarter and Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.m. ET (3:30 p.m. CT)

Exhibit 99 EnSync Energy Reports Fourth Quarter and Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.

EnSync, Inc. Director Compensation Policy

Exhibit 10.36 EnSync, Inc. Director Compensation Policy Members of the Board of Directors (the “Board”) of EnSync, Inc. (the “Company”) who are not officers or employees of the Company or any subsidiary of the Company (“non-employee directors”) shall be paid the following amounts in consideration for their services on the Board: (i) An annual equity retainer in the amount of $96,000, to be awarded

ESNC / EnSync, Inc. 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2018 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identification No.) i

Subsidiaries of EnSync, Inc.

Exhibit 21 List of Subsidiaries of EnSync, Inc. 1. ZBB Energy Pty. Ltd. (Australia) 2. ZBB PowerSav Holdings Limited (Hong Kong) 3. ZBB Cayman Corporation (Cayman Islands) 4. Holu Energy LLC (Hawaii) 5. EnSync Managed Services LLC (Wisconsin) 6. EnSync Pacific Engineering LLC (Hawaii) 7. EnSync Pacific Energy LLC (Hawaii) 8. CleanSolar Power LLC (Hawaii)

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): September 5, 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

Form of Stock Purchase Agreement, dated September 5, 2018, filed herewith.

Exhibit 10.1 STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the “Purchase Agreement”) is made and entered into as of , 2018, by and between EnSync, Inc., a Wisconsin corporation (“EnSync”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). Article 1 - SALE OF SHARES Section 1.1 Sale of

Engagement Letter between EnSync, Inc. and Network 1 Financial Securities, Inc., dated August 23, 2018, filed herewith.

Exhibit 10.2 Attn: Brad Hansen Chief Executive Officer EnSync, Inc. N88 W13901 Main St., Suite 200 Menomonee Falls, WI 53051 August 23, 2018 Re.: Finder’s Agreement Dear Mr. Hansen: The undersigned, Network 1 Financial Securities, Inc. a Texas Corporation and broker/dealer registered with the U.S. Securities & Exchange Commission (“SEC”) and member of the Financial Industry Regulatory Authority (“

ENSYNC, INC. 11,335,953 shares of Common Stock

424B5 1 tv502017424b5.htm 424B5 Filed Pursuant to Rule 424(b)(5) Registration No. 333-218935 PROSPECTUS SUPPLEMENT (To Prospectus dated October 12, 2017) ENSYNC, INC. 11,335,953 shares of Common Stock Pursuant to this prospectus supplement and accompanying prospectus, we are offering up to 11,335,953 shares of our common stock, par value $0.01 per share, to investors under a stock purchase agreeme

Current Report

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): June 19, 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) (I

EnSync Energy Reports Third Quarter Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.m. ET (3:30 p.m. CT)

Exhibit 99 EnSync Energy Reports Third Quarter Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): May 15, 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) (IR

ESNC / EnSync, Inc. FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identificati

Employment Agreement, dated as of February 12, 2018, between EnSync, Inc. and William J. Dallapiazza

Exhibit 10.2 ENSYNC INC. EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is effective February 12, 2018, by and between William Dallapiazza (“you”) and ENSYNC, INC. (“ENSYNC” or the “Company”). RECITALS ENSYNC is pleased to offer you the role of Chief Financial Officer (“CFO”). This Agreement sets forth the terms of your employment. 1. Position. (a) You will serve as the Company’s CFO

Regulation FD Disclosure

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): May 14, 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) (IR

EnSync Energy Reports Second Quarter Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.m. ET (3:30 p.m. CT)

Exhibit 99 EnSync Energy Reports Second Quarter Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): February 13, 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

Incorporated by reference to Exhibit 10.5 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2017

Exhibit 10.5 LEASE AMENDMENT Reference is made to the lease dated November 17, 2017 between 13901 Leasing Company, LLP and EnSyne, Inc. for a portion of the premises as N88 W13901 Main Street, Menomonee Falls, Wisconsin It is hereby agreed between the parties that the date mentioned in Paragraph 19 of Section XXVIII of the Lease is hereby changed to December 15, 2017, time is of the essence. In al

ESNC / EnSync, Inc. FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2017 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identific

EnSync, Inc. Director Compensation Policy

Exhibit 10.3 EnSync, Inc. Director Compensation Policy Members of the Board of Directors (the “Board”) of EnSync, Inc. (the “Company”) who are not officers or employees of the Company or any subsidiary of the Company (“non-employee directors”) shall be paid the following amounts in consideration for their services on the Board: (i) An annual equity retainer in the amount of $96,000, to be awarded

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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): February 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

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

8-K 1 tv4849038k.htm FORM 8-K 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): January 31, 2018 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorpora

Incorporated by reference to Exhibit 2.1 to the Company’s Current Report on Form 8-K filed on February 6, 2018

Exhibit 2.1

Incorporated by reference to Exhibit 1.1 to the Company’s Current Report on Form 8-K filed on February 6, 2018

Exhibit 1.1 LEASE THIS LEASE is made as of this 17th day of November, 2017 (the ?Effective Date?) by and between 13901 Leasing Company, LLP, a Wisconsin limited liability partnership, hereinafter referred to as ?Landlord?, and EnSync, Inc., hereinafter referred to as ?Tenant?. I. DEMISE OF LEASED PREMISES 1. In consideration of the rents hereinafter reserved and of the covenants and agreements her

Incorporated by reference to Exhibit 4.14 to the Company’s Registration Statement on Form S-8 filed on December 28, 2017

Exhibit 4.14 ENSYNC, INC. NONSTATUTORY STOCK OPTION AGREEMENT This Nonstatutory Stock Option Agreement (this “Agreement”) is executed as of [●], by and between ENSYNC, INC., a Wisconsin corporation (the “Company”), and [●] (“Employee”). W I T N E S S E T H: WHEREAS, the Company wishes to grant Employee a Nonstatutory Stock Option in conjunction with Employee’s appointment as [●], subject to the te

ESNC / EnSync, Inc. FORM S-8

As Filed With the Securities and Exchange Commission on December 28, 2017 Registration No.

Current Report

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): December 19, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

ESNC / EnSync, Inc. DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

EnSync Energy Adjourns 2017 Annual Meeting Meeting to Reconvene at 10:00 a.m. CST on December 19, 2017

Exhibit 99 EnSync Energy Adjourns 2017 Annual Meeting Meeting to Reconvene at 10:00 a.

Financial Statements and Exhibits, Other Events

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 15, 2017 (November 14, 2017) EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Co

EnSync Energy Reports First Quarter Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.m. EST (3:30 p.m. CDT)

Exhibit 99 EnSync Energy Reports First Quarter Fiscal Year 2018 Results Management to Host Conference Call Today at 4:30 p.

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 tv4790778k.htm FORM 8-K 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 9, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorpora

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 Commission File Number: 001-33

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identifi

ESNC / EnSync, Inc. ESP

ENSYNC, INC. N93 W14475 Whittaker Way Menomonee Falls, Wisconsin 53051 October 10, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Scott Anderegg (Mail Stop 3561) Re: EnSync, Inc. Registration Statement on Form S-3 (File No. 333-218935) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act

Amendment No. 5 to EnSync, Inc. 2010 Omnibus Long-Term Incentive Plan (previously filed as Appendix A to the Proxy Statement for the Company’s 2017 Annual Meeting of Shareholders filed on October 5, 2017, which is incorporated herein by reference)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of

EnSync S-3/A

As Filed With the Securities and Exchange Commission on September 29, 2017 Registration No.

Anhui Meineng Store Energy Co., Ltd. Second Supplemental Agreement to the Joint Venture Agreement by and between ZBB PowerSav Holdings Limited and Anhui Xinlong Investment Management Co., Ltd., dated December 18, 2015

Exhibit 10.31 ZBB POWERSAV HOLDINGS LIMITED ANHUI MEINENG STORE ENERGY SYSTEM CO. LTD. SECOND SUPPLEMENTAL AGREEMENT TO THE JOINT VENTURE AGREEMENT This SECOND SUPPLEMENTAL AGREEMENT TO THE JOINT VENTURE AGREEMENT (this “Amendment”) is made and entered into as of December 18, 2015, by and between ZBB POWERSAV HOLDINGS LTD., a Hong Kong limited liability company (“Hong Kong Holdco”), and ANHUI XIND

Subsidiaries of EnSync, Inc.

Exhibit 21 List of Subsidiaries of EnSync, Inc. 1. ZBB Energy Pty. Ltd. (Australia) 2. ZBB PowerSav Holdings Limited (Hong Kong) 3. ZBB Cayman Corporation (Cayman Islands) 4. Holu Energy LLC (Hawaii) 5. EnSync Managed Services LLC (Wisconsin) 6. DCfusion, LLC (Delaware) 7. EnSync Pacific Engineering LLC (Hawaii) 8. EnSync Pacific Energy LLC (Hawaii)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2017 Commission File Number: 001-33540 EnSync, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2017 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identification No.) i

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 20, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file num

EnSync Energy Reports Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.m. EDT (3:30 p.m. CDT)

Exhibit 99 EnSync Energy Reports Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.

EnSync Energy Reports Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.m. EDT (3:30 p.m. CDT)

Exhibit 99 EnSync Energy Reports Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 v4755128k.htm FORM 8-K 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): September 20, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorpor

ESNC / EnSync, Inc. / SPI Energy Co., Ltd. - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Tairan Guo, Chief Financial Officer SPI Energy Co., Ltd. Suite 2703, 27/F, China Resources Building 26 Harbour Road, Wan Chai Hong Kong S

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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): July 7, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number) (IR

ESNC / EnSync, Inc. / He Jilun - SCHEDULE 13D AMENDMENT NO. 6 Activist Investment

Schedule 13D Amendment No. 6 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Ann An Melodious Investments Company Limited 45F, China Resources Building , 26 Harbour Road, Wan Chai, Hon

EnSync FORM SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT 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 W14475 Whittaker Way, Menomonee Falls, Wisconsin 53051 (Address of principal execu

EnSync, Inc. Conflict Minerals Report For The Year Ended December 31, 2016

Exhibit 1.01 EnSync, Inc. Conflict Minerals Report For The Year Ended December 31, 2016 This Conflict Minerals Report (the “Report”) of EnSync, Inc. (herein referred to as “EnSync”, the “Company”, “we”, “us”, or “our”) for calendar year 2016 has been prepared pursuant to Rule 13p-1 and Form SD under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule requires disclosure of certa

Power of Attorney (previously filed)

As Filed With the Securities and Exchange Commission on June 23, 2017 Registration No.

Form of Indenture relating to the issuance from time to time in one or more series of debentures, notes, bonds or other evidences of indebtedness (previously filed)

EX-4.4 2 v466957ex4-4.htm EXHIBIT 4.4 Exhibit 4.4 INDENTURE between EnSync, Inc. and [] TRUSTEE Dated as of [] Providing for Issuance of Debt Securities in Series Reconciliation and tie between Indenture, dated as of , and the Trust Indenture Act of 1939, as amended. Trust Indenture Act of 1939 Section Indenture Section 310(a)(1) 6.11 (a)(2) 6.11 (a)(3) TIA (a)(4) Not Applicable (a)(5) TIA (b) 6.9

ENSYNC, INC. 7,150,000 Shares of Common Stock

424B5 1 v469442424b5.htm 424B5 Filed Pursuant to Rule 424(b)(5) Registration No. 333-194706 PROSPECTUS SUPPLEMENT (To Prospectus dated June 25, 2014) ENSYNC, INC. 7,150,000 Shares of Common Stock This is a firm commitment public offering of 7,150,000 shares of our common stock. Our common stock is traded on the NYSE MKT under the symbol “ESNC.” On June 20, 2017, the last reported sale price of our

EnSync, Inc. Announces Proposed Public Offering of Common Stock

Exhibit 99.1 EnSync, Inc. Announces Proposed Public Offering of Common Stock MILWAUKEE, WI, June 21, 2017 /PRNewswire/ ? EnSync, Inc. (NYSE MKT: ESNC), dba EnSync Energy Systems (the ?Company?), a leading developer of innovative distributed energy resource (DER) systems and internet of energy (IOE) control platforms for the utility, commercial, industrial and multi-tenant building markets, today a

ENSYNC, INC. UNDERWRITING AGREEMENT 7,150,000 Shares of Common Stock

EX-1 2 v469443ex1.htm EXHIBIT 1 Exhibit 1 ENSYNC, INC. UNDERWRITING AGREEMENT 7,150,000 Shares of Common Stock June 22, 2017 Roth Capital Partners, LLC As the Representative of the Several Underwriters Named on Schedule I hereto c/o Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: EnSync, Inc., a Wisconsin corporation (the “Company”), propo

Incorporated by reference to Exhibit 10 to the Company’s Current Report on Form 8-K filed on June 23, 2017

Exhibit 10 Form of Underwriter?s Warrant THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOW

EnSync, Inc. Announces PRICING OF Public Offering of Common Stock

Exhibit 99.2 EnSync, Inc. Announces PRICING OF Public Offering of Common Stock MILWAUKEE, WI, June 22, 2017 /PRNewswire/ ? EnSync, Inc. (NYSE MKT: ESNC), dba EnSync Energy Systems (the ?Company?), a leading developer of innovative distributed energy resource (DER) systems and internet of energy (IOE) control platforms for the utility, commercial, industrial and multi-tenant building markets, today

Current Report

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): June 22, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number) (I

SUBJECT TO COMPLETION, DATED JUNE 21, 2017

424B5 1 v469062424b5.htm 424B5 The information contained in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. Filed Pursuant to Rule 424(b)(5) Registration No. 333-194706 SUBJ

EnSync Energy Reports Third Quarter Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.m. EDT (3:30 p.m. CDT)

Exhibit 99 EnSync Energy Reports Third Quarter Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): May 11, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number) (IR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 Commission File Number: 001-33540

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identificati

Current Report

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): May 4, 2017 EnSync, Inc. (Exact Name of Registrant as Specified in Charter) Wisconsin 001-33540 39-1987014 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R

EnSync Energy Reports Second Quarter Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.m. EDT (3:30 p.m. CDT)

Exhibit 99 EnSync Energy Reports Second Quarter Fiscal Year 2017 Results Management to Host Conference Call Today at 4:30 p.

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): February 14, 2017 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2016 Commission File Number: 001-335

10-Q 1 v45783210q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2016 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdicti

Incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2016

Exhibit 10.1 EnSync, Inc. Director Compensation Policy Members of the Board of Directors (the “Board”) of EnSync, Inc. (the “Company”) who are not officers or employees of the Company or any subsidiary of the Company (“non-employee directors”) shall be paid the following amounts in consideration for their services on the Board: (i) An annual equity retainer in the amount of $72,000, to be awarded

Incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2016

Exhibit 10.2 ENSYNC INC. EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is effective December 14, 2015, by and between Frederick Vaske (“you”) and ENSYNC, INC. (“ENSYNC” or the “Company”). RECITALS ENSYNC is pleased to offer you the role of Vice President Structured Finance. This letter agreement sets forth the terms of your employment. 1. Position. (a) You will serve as the Company’

ESNC / EnSync, Inc. / He Jilun - SC 13D AMENDMENT NO. 5 Activist Investment

SC 13D Amendment No. 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Ann An Melodious Investments Company Limited 45F, China Resources Building, 26 Harbour Road, Wan Chai, Hong Kong

EnSync S-8

As Filed With the Securities and Exchange Commission on November 16, 2016 Registration No.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders

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 15, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

EnSync Reports First Quarter Fiscal Year 2017 Results

Exhibit 99 EnSync Reports First Quarter Fiscal Year 2017 Results MILWAUKEE, WI ? (November 10, 2016) ? EnSync, Inc.

Current Report

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 10, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 Commission File Number: 001-33

10-Q 1 v45161710q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdict

ESNC / EnSync, Inc. / He Jilun - SC 13D AMENDMENT NO. 4 Activist Investment

SC 13D Amendment No. 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Yancie Zhang Melodious Investments Company Limited 45F, China Resources Building , 26 Harbour Road, Wan Chai, Hon

ESNC / EnSync, Inc. / He Jilun - SCHEDULE 13D AMENDMENT NO.3 Activist Investment

SC 13D/A 1 d263442dsc13da.htm SCHEDULE 13D AMENDMENT NO.3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Yancie Zhang Melodious Investments Company Limited 45F, China Resources Buildi

Other Events

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): October 11, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number)

Amendment No. 3 of the EnSync, Inc. 2012 Non-Employee Director Equity Compensation Plan (formerly the ZBB Energy Corporation 2012 Non-Employee Director Equity Compensation Plan)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of

ESNC / EnSync, Inc. / He Jilun - SCHEDULE 13D AMENDMENT NO.2 Activist Investment

SC 13D/A 1 d230462dsc13da.htm SCHEDULE 13D AMENDMENT NO.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Yancie Zhang Melodious Investments Company Limited 45F, China Resources Buildi

ESNC / EnSync, Inc. / He Jilun - AMENDMENT Activist Investment

SC 13D/A 1 te132641sc13da.htm AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Yancie Zhang Melodious Investments Company Limited 45F, China Resources Building , 26 Harbour Ro

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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): September 21, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file numbe

ESNC / EnSync, Inc. / He Jilun - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Yancie Zhang Melodious Investments Company Limited 45F, China Resources Building , 26 Harbour Road, Wan Chai, Hong Kong Telephone: +852- 39566776 (Name, Addr

JOINT FILING AGREEMENT

EX-99.2 3 te131085ex9902.htm JOINT FILING AGREEMENT Exhibit 99.2 JOINT FILING AGREEMENT THIS JOINT FILING AGREEMENT is entered into as of September 16, 2016, by and among the parties hereto. The undersigned hereby agree that the Statement on Schedule 13D with respect to the common stock, par value $0.01 per share, of EnSync, Inc., a Wisconsin corporation, and any amendment thereafter signed by eac

SHARE PURCHASE AGREEMENT DATED AS OF August 30, 2016 BY AND AMONG SPI SOLAR, INC., MELODIOUS INVESTMENTS COMPANY LIMITED JILUN HE SHARE PURCHASE AGREEMENT

EX-99.1 2 te131085ex9901.htm SHARE PURCHASE AGREEMENT Exhibit 99.1 SHARE PURCHASE AGREEMENT DATED AS OF August 30, 2016 BY AND AMONG SPI SOLAR, INC., MELODIOUS INVESTMENTS COMPANY LIMITED AND JILUN HE SHARE PURCHASE AGREEMENT SHARE PURCHASE AGREEMENT (this “Agreement”), dated as of August 30, 2016, by and among Melodious Investments Company Limited, a company incorporated under the Laws of the Bri

EnSync, Inc. September 2016 Forward Looking Statements THIS PRESENTATION INCLUDES FORWARD-LOOKING STATEMENTS THAT ARE MADE PURSUANT TO THE "SAFE HARBOR" PROVISIONS OF THE PRIVATE SECURITIES LITIGATION REFORM ACT OF 1995. FORWARD-LOOKING STATEMENTS IN

Exhibit 99 EnSync, Inc. September 2016 Forward Looking Statements THIS PRESENTATION INCLUDES FORWARD-LOOKING STATEMENTS THAT ARE MADE PURSUANT TO THE "SAFE HARBOR" PROVISIONS OF THE PRIVATE SECURITIES LITIGATION REFORM ACT OF 1995. FORWARD-LOOKING STATEMENTS INVOLVE INHERENT RISKS AND UNCERTAINTIES WHICH COULD CAUSE ACTUAL RESULTS TO DIFFER MATERIALLY FROM THOSE IN THE FORWARD-LOOKING STATEMENTS,

Current Report

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): September 12, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file numbe

EnSync Reports Fourth Quarter and Fiscal Year 2016 Results

Exhibit 99 EnSync Reports Fourth Quarter and Fiscal Year 2016 Results MILWAUKEE, WI ? (September 8, 2016) ? EnSync, Inc.

Current Report

8-K 1 ensync8k.htm ENSYNC, INC. 8-K 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): September 8, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of in

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2016 Commission File Number: 001-33540 EnSync, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2016 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identification No.) i

List of Subsidiaries of EnSync, Inc.

Exhibit 21 List of Subsidiaries of EnSync, Inc. 1. ZBB Energy Pty. Ltd. (Australia) 2. ZBB PowerSav Holdings Limited (Hong Kong) 3. ZBB Cayman Corporation (Cayman Islands) 4. Holu Energy LLC (Hawaii) 5. EnSync Managed Services LLC (Wisconsin) 6. HCC PNL LLC (Hawaii) 7. Ainahou 1 PNL LLC (Hawaii) 8. Ainahou 2 PNL LLC (Hawaii)

SHARE PURCHASE AGREEMENT DATED AS OF August 30, 2016 BY AND AMONG SPI SOLAR, INC., MELODIOUS INVESTMENTS COMPANY LIMITED JILUN HE SHARE PURCHASE AGREEMENT

EX-99.6 Exhibit 99.6 SHARE PURCHASE AGREEMENT DATED AS OF August 30, 2016 BY AND AMONG SPI SOLAR, INC., MELODIOUS INVESTMENTS COMPANY LIMITED AND JILUN HE SHARE PURCHASE AGREEMENT SHARE PURCHASE AGREEMENT (this “Agreement”), dated as of August 30, 2016, by and among Melodious Investments Company Limited, a company incorporated under the Laws of the British Virgin Islands (the “Purchaser”), SPI Sol

ESNC / EnSync, Inc. / SPI Energy Co., Ltd. - SCHEDULE 13D AMENDMENT NO. 2 Activist Investment

Schedule 13D Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Tairan Guo, Interim Chief Financial Officer SPI Energy Co., Ltd. 7F/A Block, 1st Building, Jinqi Plaza No. 2

Joint Filing Agreement

EX-99.4 Exhibit 99.4 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D/A referred to below) on behalf of each of them of a statement on Schedule 13D/A (including amendments thereto) with respect to th

ESNC / EnSync, Inc. / SPI Energy Co., Ltd. - SCHEDULE 13D AMENDMENT NO.1 Activist Investment

SCHEDULE 13D AMENDMENT NO.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) EnSync, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Tairan Guo, Interim Chief Financial Officer SPI Energy Co., Ltd. 7F/A Block, 1st Building, Jinqi Plaza No. 21

DATED the 21 June 2016 SPI Solar, Inc. as Chargor in favour of Head & Shoulders Credit Limited as Lender DEED OF SHARE CHARGE

EX-99.5 Exhibit 99.5 DATED the 21 June 2016 SPI Solar, Inc. as Chargor in favour of Head & Shoulders Credit Limited as Lender *************************************************************************** DEED OF SHARE CHARGE *************************************************************************** 1 THIS DEED OF SHARE CHARGE is made on 21 June 2016 BETWEEN: (1) SPI Solar, Inc. (as successor in int

EnSync, Inc. Conflict Minerals Report For The Year Ended December 31, 2015

Exhibit 1.01 EnSync, Inc. Conflict Minerals Report For The Year Ended December 31, 2015 This Conflict Minerals Report (the ?Report?) of EnSync, Inc. (herein referred to as ?EnSync?, the ?Company?, ?we?, ?us?, or ?our?) for calendar year 2015 has been prepared pursuant to Rule 13p-1 and Form SD under the Securities and Exchange Act of 1934, as amended (the ?Rule?). The Rule requires disclosure of c

EnSync ENSYNC, INC. FORM SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT 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 W14475 Whittaker Way, Menomonee Falls, Wisconsin 53051 (Address of principal execu

EnSync Reports Third Quarter Fiscal 2016 Results Company Successfully Signs Agreement for Sale Leaseback of First Hawaiian PPA Project Management to Host Conference Call at 4:30p.m. EDT (3:30 p.m. CDT) Domestic participant dial in #: 888-797-2983 Par

Exhibit 99.1 EnSync Reports Third Quarter Fiscal 2016 Results Company Successfully Signs Agreement for Sale Leaseback of First Hawaiian PPA Project Management to Host Conference Call at 4:30p.m. EDT (3:30 p.m. CDT) Domestic participant dial in #: 888-797-2983 Participant passcode #: 6959431 MILWAUKEE, WI – (May 11, 2016) – EnSync, Inc. (NYSE MKT: ESNC), dba EnSync Energy Systems, a leading develop

Current Report

8-K 1 ensync8k.htm ENSYNC, INC. 8-K 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): May 11, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 Commission File Number: 001-33540

10-Q 1 ensync10q.htm ENSYNC, INC. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisd

Amendment No. 2 of the EnSync, Inc. 2012 Non-Employee Director Equity Compensation Plan (formerly the ZBB Energy Corporation 2012 Non-Employee Director Equity Compensation Plan)

Exhibit 10.2 Amendment No. 2 of the EnSync, Inc. 2012 Non-Employee Director Equity Compensation Plan (formerly the ZBB Energy Corporation 2012 Non-Employee Director Equity Compensation Plan) This Amendment No. 2 (the "Amendment"), dated September 17, 2015, of the 2012 Non-Employee Director Equity Compensation Plan (the "Existing Plan"; as amended hereby, the "Plan"), of EnSync, Inc., a Wisconsin c

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2015 Commission File Number: 001-335

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2015 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identific

Current Report

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): February 16, 2016 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

Incorporated by reference to Exhibit 3.2 to the Company’s Quarterly Report on Form 10-Q filed on February 16, 2016

Exhibit 3.2 ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF ENSYNC, INC. Pursuant to Section 180.1003 of the Wisconsin Business Corporation Law Pursuant to resolutions of the Board of Directors dated September 17, 2015 and the approval of the shareholders of EnSync, Inc., a Wisconsin corporation (the "Corporation"), on November 17, 2015, and in accordance with the provisions of Section 180.1

EnSync Reports Second Quarter 2016 Results Management to Host Conference Call at 4:30p.m. EST (3:30 p.m. CST)

EX-99.1 2 exh991.htm EXHIBIT 99.1 Exhibit 99.1 EnSync Reports Second Quarter 2016 Results Management to Host Conference Call at 4:30p.m. EST (3:30 p.m. CST) MILWAUKEE, WI – (February 16, 2016) – EnSync, Inc. (NYSE MKT: ESNC), dba EnSync Energy Systems, a leading developer of innovative energy management systems for the utility, commercial, industrial and multi-tenant building markets, today announ

EnSync, Inc. Director Compensation Policy

EX-10.3 5 exh103.htm EXHIBIT 10.3 Exhibit 10.3 EnSync, Inc. Director Compensation Policy Members of the Board of Directors (the "Board") of EnSync, Inc. (the "Company") who are not officers or employees of the Company or any subsidiary of the Company or affiliates of Solar Power, Inc. ("non-employee directors") shall be paid the following amounts in consideration for their services on the Board: (

Amendment No. 3 of the EnSync, Inc. 2010 Omnibus Long-Term Incentive Plan (formerly the ZBB Energy Corporation 2010 Omnibus Long-Term Incentive Plan)

EX-10.1 3 exh101.htm EXHIBIT 10.1 Exhibit 10.1 Amendment No. 3 of the EnSync, Inc. 2010 Omnibus Long-Term Incentive Plan (formerly the ZBB Energy Corporation 2010 Omnibus Long-Term Incentive Plan) This Amendment No. 3 (the "Amendment"), dated September 17, 2015, of the 2010 Omnibus Long-Term Incentive Plan (the "Existing Plan"; as amended hereby, the "Plan"), of EnSync, Inc., a Wisconsin corporati

ENSYNC INC. EMPLOYMENT AGREEMENT

Exhibit 10.4 ENSYNC INC. EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT ("Agreement") is effective October, 20, 2015, by and between James F. Schott ("you") and ENSYNC, INC. ("ENSYNC" or the "Company"). RECITALS On behalf of the President & Chief Executive Officer, EnSync, Inc. ("ENSYNC"), I am pleased to offer you the role of Chief Financial Officer ("CFO"). This letter agreement sets forth the t

EnSync ENSYNC, INC. S-8

As Filed With the Securities and Exchange Commission on December 2, 2015 Registration No.

Current Report

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 17, 2015 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 Commission File Number: 001-33

10-Q 1 ensync10q.htm ENSYNC, INC. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other ju

EnSync Reports First Quarter 2016

Exhibit 99 EnSync Reports First Quarter 2016 Results MILWAUKEE, WI ? (November 16, 2015) ? EnSync, Inc.

Current Report

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 16, 2015 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number

EnSync ENSYNC, INC. 8-K (Current Report/Significant Event)

ensync8k.htm 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): October 20, 2015 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission

Amendment No. 2 of the EnSync, Inc. 2012 Non-Employee Director Equity Compensation Plan (formerly the ZBB Energy Corporation 2012 Non-Employee Director Equity Compensation Plan)

DEF 14A 1 ensyncdef14a.htm ENSYNC SCHEDULE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for

EnSync ENSYNC INC. PRE14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (

Incorporated by reference to Exhibit 3.4 to the Company’s Annual Report on Form 10-K filed on September 28, 2015

Exhibit 3.4 AMENDED AND RESTATED BY-LAWS OF ENSYNC, INC. (as of November 4, 2009) ARTICLE I. OFFICES SECTION 1.01 Principal Office. The principal office of the Corporation shall be located at any place either within or outside the state of Wisconsin as designated in the Corporation?s most current Annual Report filed with the Wisconsin Secretary of State. The executive offices of the Corporation sh

EnSync Reports Fourth Quarter and Full Year 2015

exh99.htm Exhibit 99 EnSync Reports Fourth Quarter and Full Year 2015 Results MILWAUKEE, WI ? (September 28, 2015) ? EnSync, Inc. (NYSE MKT: ESNC), dba EnSync Energy Systems, a leading developer of innovative energy management systems for the utility, commercial, industrial and multi-tenant building markets, today announced their fourth quarter and full year 2015 results. Fourth Quarter Highlights

Incorporated by reference to Exhibit 3.1 to the Company’s Annual Report on Form 10-K filed on September 28, 2015

Exhibit 3.1 ARTICLES OF INCORPORATION OF ENSYNC, INC., AS AMENDED These Articles of Incorporation are executed by the undersigned for the purpose of forming a Wisconsin corporation under Chapter 180 of the Wisconsin Statutes: ARTICLE I The name of the corporation is EnSync, Inc. ARTICLE II The period of existence of the corporation shall be perpetual. ARTICLE III The corporation is authorized to e

Current Report

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): September 28, 2015 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file numbe

List of Subsidiaries of EnSync, Inc.

Exhibit 21 List of Subsidiaries of EnSync, Inc. 1. ZBB Energy Pty Ltd. (Australia) 2. ZBB PowerSav Holdings Limited (Hong Kong) 3. ZBB Cayman Corporation (Cayman Islands) 4. Century West PNL LLC (Delaware)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2015 Commission File Number: 001-33540 EnSync, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2015 Commission File Number: 001-33540 EnSync, Inc. (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identification No.) i

Incorporated by reference to Exhibit 4.1 to the Company’s Annual Report on Form 10-K filed on September 28, 2015

Exhibit 4.1 FULLY-PAID AND NON-ASSESSABLE SHARES OF THE COMMON STOCK OF EnSync, Inc. (hereinafter called the “Company”), transferable on the books of the Company in person or by duly authorized attorney, upon surrender of this Certificate properly endorsed. This Certificate and the shares represented hereby, are issued and shall be held subject to all of the provisions of the Articles of Incorpora

EnSync ESP

Mark R. Busch D 704/331-7440 F 704/353-3140 [email protected] September 24, 2015 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: EnSync, Inc. Preliminary Proxy Statement for 2015 Annual Meeting of Shareholders File No. 001-33540 Ladies and Gentlemen: On behalf of EnSync, Inc., a Wisconsin cor

EnSync, Inc. 2010 Omnibus Long-Term Incentive Plan (previously filed as Appendix A to the Proxy Statement for the Company’s 2010 Annual Meeting of Shareholders filed on September 24, 2010, which is incorporated herein by reference)

ensyncpre14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a

Current Report

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): August 17, 2015 EnSync, Inc. (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file number)

ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF ZBB ENERGY CORPORATION Pursuant to Section 180.1003 of the Wisconsin Business Corporation Law

exh31.htm Exhibit 3.1 ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF ZBB ENERGY CORPORATION Pursuant to Section 180.1003 of the Wisconsin Business Corporation Law Pursuant to the consent of the Board of Directors dated May 18, 2015 and the approval of the shareholders of ZBB Energy Corporation, a Wisconsin corporation (the "Corporation"), on July 9, 2015, and in accordance with the provisio

ESNC / EnSync, Inc. / SPI Energy Co., Ltd. - SCHEDULE 13D Activist Investment

Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 ZBB Energy Corporation (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 98876R204 (CUSIP Number) Amy Jing Liu Chief Financial Officer Solar Power, Inc. 3400 Douglas Boulevard, Suite # 285 Roseville, California Telephone: +1 916 770

Incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on July 14, 2015

exh41.htm Exhibit 4.1 ZBB ENERGY CORPORATION CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 CONVERTIBLE PREFERRED STOCK SERIES C-2 CONVERTIBLE PREFERRED STOCK SERIES C-3 CONVERTIBLE PREFERRED STOCK SERIES C-4 CONVERTIBLE PREFERRED STOCK Pursuant to Sections 180.1002 and 180.0602 of the Wisconsin Business Corporation Law Pursuant to the authority granted to and vest

Incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on July 14, 2015

exh103.htm Exhibit 10.3 AMENDMENT TO EMPLOYMENT AGREEMENT THIS AMENDMENT TO EMPLOYMENT AGREEMENT (“Amendment”) is made as of July 13, 2015 (“Effective Date”), by and between ZBB Energy Corporation (“ZBB” or the “Company”) and Bradley Hansen (“you”). WHEREAS, you and the Company entered into that certain Employment Agreement dated May 19, 2014 (the “Employment Agreement”); and WHEREAS, you and the

EnSync ZBB ENERGY CORPORATION 8-K (Current Report/Significant Event)

zbb8k.htm 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): July 13, 2015 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commis

GOVERNANCE AGREEMENT

EX-10.2 3 exh102.htm EXHIBIT 10.2 Exhibit 10.2 GOVERNANCE AGREEMENT THIS GOVERNANCE AGREEMENT (this “Agreement”), by and between ZBB Energy Corporation, a Wisconsin corporation (the “Company”), and Solar Power, Inc. and its affiliates (the “Investor”) is entered into as of this 13th day of July, 2015. WHEREAS, on April 17, 2015, the Investor and the Company entered into a Securities Purchase Agree

EnSync ZBB ENERGY CORPORATION DEFA 14A

zbbdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2

EnSync ZBB ENERGY CORPORATION DEF 14 A

zbbdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2

Current Report

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): June 29, 2015 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission file

ZBB Energy Announces Adjournment of Special Meeting Special Meeting to be Reconvened Thursday, July 9, 2015

exh99.htm Exhibit 99.1 ZBB Energy Announces Adjournment of Special Meeting Special Meeting to be Reconvened Thursday, July 9, 2015 Milwaukee, Wisconsin-(Marketwired ? June 29, 2015) - ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of innovative energy management systems solutions serving the utility, commercial and industrial building markets, today announced that its Special Meeting

EnSync ZBB ENERGY CORPORATION DEF 14A

zbbdef14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)

ZBB Energy Corporation Reports Third Quarter Fiscal Year 2015

exh99.htm Exhibit 99 ZBB Energy Corporation Reports Third Quarter Fiscal Year 2015 Results MILWAUKEE, WI ? (Marketwired ? May 14, 2015) ? ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of innovative energy management systems solutions serving the utility and commercial and industrial (C&I) building markets, today announced its financial results for its third fiscal quarter ended March

EnSync ZBB ENERGY CORPORATION 8-K (Current Report/Significant Event)

zbb8k.htm 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): May 14, 2015 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commiss

ZBB Energy Corporation Reports Third Quarter Fiscal Year 2015

exh99.htm Exhibit 99 ZBB Energy Corporation Reports Third Quarter Fiscal Year 2015 Results MILWAUKEE, WI ? (Marketwired ? May 14, 2015) ? ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of innovative energy management systems solutions serving the utility and commercial and industrial (C&I) building markets, today announced its financial results for its third fiscal quarter ended March

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 Commission File Number: 001-33540

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 Commission File Number: 001-33540 (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identification No.) incor

EnSync ZBB ENERGY CORPORATION 8-K

zbb8k.htm 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): May 14, 2015 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commiss

EnSync ZBB ENERGY CORPORATION PRE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive

SUPPLY AGREEMENT

exh102.htm Exhibit 10.2 SUPPLY AGREEMENT THIS SUPPLY AGREEMENT (this ?Agreement?) is entered into as of this day of , 2015 (the ?Effective Date?), by and between ZBB Energy Corporation, a Wisconsin corporation (?ZBB?), and Solar Power, Inc., a California corporation (?SPI? and, together with ZBB, individually, a ?Party? and, collectively, the ?Parties?). RECITALS WHEREAS, ZBB is a developer of ene

COMMON STOCK PURCHASE WARRANT ZBB ENERGY CORPORATION _______ __, 2015 Warrant Shares: 50,000,000

exh4_2.htm Exhibit 4.2 THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT OR APPLICABLE EXEMPTION OR SAFE HARBOR PROVISION. Warrant N

COMMON STOCK PURCHASE WARRANT ZBB ENERGY CORPORATION _______ __, 2015 Warrant Shares: 50,000,000

exh42.htm Exhibit 4.2 THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT OR APPLICABLE EXEMPTION OR SAFE HARBOR PROVISION. Warrant No

Incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on April 17, 2015

exh102.htm Exhibit 10.2 SUPPLY AGREEMENT THIS SUPPLY AGREEMENT (this ?Agreement?) is entered into as of this day of , 2015 (the ?Effective Date?), by and between ZBB Energy Corporation, a Wisconsin corporation (?ZBB?), and Solar Power, Inc., a California corporation (?SPI? and, together with ZBB, individually, a ?Party? and, collectively, the ?Parties?). RECITALS WHEREAS, ZBB is a developer of ene

GOVERNANCE AGREEMENT

exh103.htm Exhibit 10.3 GOVERNANCE AGREEMENT THIS GOVERNANCE AGREEMENT (this “Agreement”), by and between ZBB Energy Corporation, a Wisconsin corporation (the “Company”), and Solar Power, Inc. and its affiliates (the “Investor”) is entered into as of this , 2015. WHEREAS, on April 17, 2015, the Investor and the Company entered into a Securities Purchase Agreement (the “Securities Purchase Agreemen

ZBB Energy and Solar Power, Inc. (SPI) Announce Global Strategic Partnership with an Initial Supply Agreement Valued at Between $80 million and $120 million. Historic Solar Energy and Energy Storage Partnership Includes a $33.4 million Initial Equity

exh991.htm Exhibit 99.1 ZBB Energy and Solar Power, Inc. (SPI) Announce Global Strategic Partnership with an Initial Supply Agreement Valued at Between $80 million and $120 million. Historic Solar Energy and Energy Storage Partnership Includes a $33.4 million Initial Equity Investment and Targets SPI?s Large Global Solar PV Project Portfolio Milwaukee, Wisconsin-(Marketwired ? April 17, 2015) - ZB

GOVERNANCE AGREEMENT

exh103.htm Exhibit 10.3 GOVERNANCE AGREEMENT THIS GOVERNANCE AGREEMENT (this ?Agreement?), by and between ZBB Energy Corporation, a Wisconsin corporation (the ?Company?), and Solar Power, Inc. and its affiliates (the ?Investor?) is entered into as of this , 2015. WHEREAS, on April 17, 2015, the Investor and the Company entered into a Securities Purchase Agreement (the ?Securities Purchase Agreemen

SECURITIES PURCHASE AGREEMENT

exh101.htm Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of April 17, 2015, by and between ZBB Energy Corporation, a Wisconsin corporation (the ?Company?), and Solar Power, Inc., a California corporation (the ?Purchaser?). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to an exemption from the reg

EnSync ZBB ENERGY CORPORATION 8-K

zbbenergy8k.htm 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): April 17, 2015 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation)

ZBB Energy and Solar Power, Inc. (SPI) Announce Global Strategic Partnership with an Initial Supply Agreement Valued at Between $80 million and $120 million. Historic Solar Energy and Energy Storage Partnership Includes a $33.4 million Initial Equity

exh991.htm Exhibit 99.1 ZBB Energy and Solar Power, Inc. (SPI) Announce Global Strategic Partnership with an Initial Supply Agreement Valued at Between $80 million and $120 million. Historic Solar Energy and Energy Storage Partnership Includes a $33.4 million Initial Equity Investment and Targets SPI?s Large Global Solar PV Project Portfolio Milwaukee, Wisconsin-(Marketwired ? April 17, 2015) - ZB

SECURITIES PURCHASE AGREEMENT

exh101.htm Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of April 17, 2015, by and between ZBB Energy Corporation, a Wisconsin corporation (the ?Company?), and Solar Power, Inc., a California corporation (the ?Purchaser?). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to an exemption from the reg

ZBB ENERGY CORPORATION CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS SERIES C-1 CONVERTIBLE PREFERRED STOCK SERIES C-2 CONVERTIBLE PREFERRED STOCK SERIES C-3 CONVERTIBLE PREFERRED STOCK SERIES C-4 CONVERTIBLE PREFERRED STOCK Pursu

exh41.htm Exhibit 4.1 ZBB ENERGY CORPORATION CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 CONVERTIBLE PREFERRED STOCK SERIES C-2 CONVERTIBLE PREFERRED STOCK SERIES C-3 CONVERTIBLE PREFERRED STOCK SERIES C-4 CONVERTIBLE PREFERRED STOCK Pursuant to Sections 180.1002 and 180.0602 of the Wisconsin Business Corporation Law Pursuant to the authority granted to and vest

Entry into a Material Definitive Agreement

zbbenergy8k.htm 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): April 17, 2015 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation)

ZBB ENERGY CORPORATION CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS SERIES C-1 CONVERTIBLE PREFERRED STOCK SERIES C-2 CONVERTIBLE PREFERRED STOCK SERIES C-3 CONVERTIBLE PREFERRED STOCK SERIES C-4 CONVERTIBLE PREFERRED STOCK Pursu

exh41.htm Exhibit 4.1 ZBB ENERGY CORPORATION CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 CONVERTIBLE PREFERRED STOCK SERIES C-2 CONVERTIBLE PREFERRED STOCK SERIES C-3 CONVERTIBLE PREFERRED STOCK SERIES C-4 CONVERTIBLE PREFERRED STOCK Pursuant to Sections 180.1002 and 180.0602 of the Wisconsin Business Corporation Law Pursuant to the authority granted to and vest

ZBB Energy Corporation Reports Second Quarter Fiscal Year 2015

exh99.htm Exhibit 99 ZBB Energy Corporation Reports Second Quarter Fiscal Year 2015 Results MILWAUKEE, WI – (Marketwired – February 17, 2014) – ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced its financial results for its second fiscal quarter ended December 31, 2014. Second Quarter Hig

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2014 Commission File Number: 001-335

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2014 Commission File Number: 001-33540 (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identification No.) in

Current Report

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): February 17, 2015 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission f

ESNC / EnSync, Inc. S-8 - - ZBB ENERGY CORPORATION S-8

As Filed With the Securities and Exchange Commission on December 8, 2014 Registration No.

Current Report

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 18, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission f

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 Commission File Number: 001-33

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 Commission File Number: 001-33540 (Exact name of registrant as specified in its charter) Wisconsin 39-1987014 (State or other jurisdiction of (I.R.S. Employer Identification No.) i

Incorporated by reference to Exhibit 10.5 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2014

EX-10.5 4 exh105.htm EXHIBIT 10.5 Exhibit 10.5 ZBB ENERGY CORPORATION AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into on September 30, 2014, by and between Daniel Nordloh (“you” or “Employee”) and ZBB Energy Corporation (“ZBB” or the “Company”). RECITALS WHEREAS, you are currently employed as the Company’s Executive Vice Presid

Incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2014

Exhibit 10.1 ZBB ENERGY CORPORATION RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (this “Agreement”) is executed as of July 15, 2014 (the “Effective Date”), by and between ZBB ENERGY CORPORATION, a Wisconsin corporation (the “Company”), and Bradley Hansen (“Employee”). W I T N E S S E T H: WHEREAS, the Compensation Committee of the Board of Directors of the Compa

Amended and Restated Management Services Agreement between Anhui Meineng Store Energy Co., Ltd. and ZBB PowerSav Holdings Limited, dated July 1, 2014

Exhibit 10.2 EXECUTION VERSION ANHUI MEINENG STORE ENERGY CO., LTD. ZBB POWERSAV HOLDINGS LIMITED AMENDED AND RESTATED MANAGEMENT SERVICES AGREEMENT THIS AMENDED AND RESTATED MANAGEMENT SERVICES AGREEMENT (this “Agreement”) is made and entered into as of July 1, 2014 (the “Effective Date”), by and between ANHUI MEINENG STORE ENERGY CO., LTD., a Chinese limited liability company (the “Company”) and

ZBB ENERGY CORPORATION AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.6 ZBB ENERGY CORPORATION AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into on September 30, 2014, by and between Anthony Siebert (“you” or “Employee”) and ZBB Energy Corporation (“ZBB” or the “Company”). RECITALS WHEREAS, you are currently employed as the Company’s Vice President of Sales & Product Marketing; WHEREAS,

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 zbb8k.htm ZBB ENERGY CORPORATION 8-K 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 13, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other j

ZBB Energy Corporation Reports First Quarter Fiscal Year 2015

Exhibit 99 ZBB Energy Corporation Reports First Quarter Fiscal Year 2015 Results MILWAUKEE, WI – (Marketwire – Nov.

Incorporated by reference to Appendix A attached to the Company’s Definitive Proxy Statement filed on October 9, 2014

N93 W14475 Whittaker Way Menomonee Falls, Wisconsin 53051 Dear Shareholder: You are cordially invited to attend the annual meeting of shareholders of ZBB Energy Corporation to be held at the Radisson Hotel, N88 W14750 Main Street, Menomonee Falls, Wisconsin 53051, on Tuesday, November 18, 2014 at 10:00 a.

Current Report

8-K 1 zbb8k.htm ZBB ENERGY CORPORATION 8-K 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): September 30, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other

Incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on October 3, 2014

Exhibit 10.2 ZBB ENERGY CORPORATION AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into on September 30, 2014, by and between Kevin Dennis (“you” or “Employee”) and ZBB Energy Corporation (“ZBB” or the “Company”). RECITALS WHEREAS, you are currently employed as the Company’s Vice President Engineering and Product Development; WHERE

ZBB ENERGY CORPORATION AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.1 ZBB ENERGY CORPORATION AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into on September 30, 2014, by and between Eric C. Apfelbach (“you” or “Employee”) and ZBB Energy Corporation (“ZBB” or the “Company”). RECITALS WHEREAS, you are currently employed as the Company’s Chief Executive Officer; WHEREAS, you and the Compan

Incorporated by reference to Exhibit 10.32 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2014

Exhibit 10.32 ZBB ENERGY CORPORATION NONSTATUTORY STOCK OPTION AGREEMENT This Nonstatutory Stock Option Agreement (this ?Agreement?) is executed as of May 19, 2014, by and between ZBB ENERGY CORPORATION, a Wisconsin corporation (the ?Company?), and Bradley Hansen (?Employee?). W I T N E S S E T H: WHEREAS, the Compensation Committee of the Board of Directors of the Company wishes to grant Employee

Incorporated by reference to Exhibit 10.31 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2014

EX-10.31 4 exh1031.htm EXHIBIT 10.31 Exhibit 10.31 ZBB ENERGY CORPORATION EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is entered into on May 19, 2014 (the “Effective Date”), by and between Bradley Hansen (“you”) and ZBB Energy Corporation (“ZBB” or the “Company”). RECITALS WHEREAS, the Company now desires to employ you in the position of President and Chief Operating Officer (COO)

May 19, 2014

Exhibit 10.33 May 19, 2014 BY HAND DELIVERY Charles W. Stankiewicz 31 Hawk Feather Circle Madison, WI 53717 RE: Amended Separation Agreement Dear Charles: We regret to inform you that your employment with ZBB Energy Corporation (the ?Company?) will be terminated effective, May 30, 2014 (the ?Separation Date?). This letter confirms our offer concerning the separation of your employment with the Com

ZBB Energy Corporation Director Compensation Policy

EX-10.24 3 exh1024.htm EXHIBIT 10.24 Exhibit 10.24 ZBB Energy Corporation Director Compensation Policy Members of the Board of Directors (the “Board”) of ZBB Energy Corporation (the “Company”) who are not officers or employees of the Company or any subsidiary of the Company (“non-employee directors”) shall be paid the following amounts in consideration for their services on the Board: (i) An annua

Financial Statements and Exhibits, Results of Operations and Financial Condition

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: September 29, 2014 (Date of earliest event reported) ZBB Energy Corporation (Exact name of registrant as specified in its charter) WI (State or other jurisdiction of incorporation) 001-33540 (Commission File Number) 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2014 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-33540 (Exact name of regist

THIRD AMENDMENT TO LETTER AGREEMENT THIS THIRD AMENDMENT TO LETTER AGREEMENT (the “Amendment”), made and entered into as of the 15th day of July, 2014 by and between ZBB ENERGY CORPORATION, a Wisconsin corporation, hereinafter referred to as the “Cor

EX-10.34 7 exh1034.htm EXHIBIT 10.34 Exhibit 10.34 THIRD AMENDMENT TO LETTER AGREEMENT THIS THIRD AMENDMENT TO LETTER AGREEMENT (the “Amendment”), made and entered into as of the 15th day of July, 2014 by and between ZBB ENERGY CORPORATION, a Wisconsin corporation, hereinafter referred to as the “Corporation,” and DANIEL NORDLOH, hereinafter referred to as “you” or the “Employee.” W I T N E S S E

MILWAUKEE, WI -- (Marketwired - September 29, 2014) - ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced its financial results for its fourt

ZBB Energy Corporation Reports Fiscal Year 2014 Net Loss Decrease of $2.8 Million MILWAUKEE, WI - (Marketwired - September 29, 2014) - ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced its financial results for its fourth quarter and fiscal year ended June 30, 2014. Fourth Quarter 2014 Fi

List of Subsidiaries of ZBB Energy Corporation

EX-21.1 8 exh21.htm EXHIBIT 21 Exhibit 21 List of Subsidiaries of ZBB Energy Corporation 1. ZBB Energy Pty Ltd. (Australia) 2. ZBB PowerSav Holdings Limited (Hong Kong) 3. ZBB Cayman Corporation (Cayman Islands)

ARTICLES OF INCORPORATION OF ZBB ENERGY CORPORATION, AS AMENDED

EX-3.1 2 exh31.htm EXHIBIT 3.1 Exhibit 3.1 ARTICLES OF INCORPORATION OF ZBB ENERGY CORPORATION, AS AMENDED These Articles of Incorporation are executed by the undersigned for the purpose of forming a Wisconsin corporation under Chapter 180 of the Wisconsin Statutes: ARTICLE I The name of the corporation is ZBB Energy Corporation. ARTICLE II The period of existence of the corporation shall be perpe

11,520,000 Shares1 ZBB Energy Corporation Common Stock, $0.01 Par Value PURCHASE AGREEMENT

Exhibit 1 11,520,000 Shares1 ZBB Energy Corporation Common Stock, $0.01 Par Value PURCHASE AGREEMENT August 21, 2014 CRAIG-HALLUM CAPITAL GROUP LLC As Representative of the several Underwriters named in Schedule I hereto c/o Craig-Hallum Capital Group LLC 222 South 9th Street Suite 350 Minneapolis, Minnesota 55402 Ladies and Gentlemen: ZBB Energy Corporation, a Wisconsin corporation (the “Company”

Financial Statements and Exhibits, Other Events

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): August 21, 2014 ZBB ENERGY CORPORATION (Exact Name of Registrant as Specified in Charter) Wisconsin 001-33540 39-1987014 (State or Other Jurisdiction of Incorporation) (Commission Fil

ZBB ENERGY CORPORATION 11,520,000 Shares of Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-194706 PROSPECTUS SUPPLEMENT (To Prospectus dated June 25, 2014) ZBB ENERGY CORPORATION 11,520,000 Shares of Common Stock This is a firm commitment public offering of 11,520,000 shares of common stock, par value $.01 per share. Our common stock is traded on the NYSE MKT under the symbol “ZBB.” As of August 20, 2014, the last reported sale price

ZBB ENERGY CORPORATION ANNOUNCES PRICING OF PUBLIC OFFERING OF COMMON STOCK

Exhibit 99.1 ZBB ENERGY CORPORATION ANNOUNCES PRICING OF PUBLIC OFFERING OF COMMON STOCK MILWAUKEE, WI-(Marketwire – August 22, 2014) – ZBB Energy Corporation (NYSE MKT: ZBB) (the "Company"), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced that it has priced a firm commitment underwritten public offering of 11,520,000 shares

ZBB ENERGY CORPORATION 9,600,000 Shares of Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-194706 The information contained in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. A registration statement relating to the securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not a

ZBB ENERGY CORPORATION

ISSUER FREE WRITING PROSPECTUS Dated August 18, 2014 Filed Pursuant to Rule 433 Registration No.

Termination of a Material Definitive Agreement

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): August 18, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission fil

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N93 W14475 Whittaker Way Menomonee Falls, Wisconsin 53051 June 23, 2014 Securities and Exchange Commission 100 F Street, N.

Current Report

8-K 1 zbb8k.htm ZBB ENERGY CORPORATION 8-K 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): June 6, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisd

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CORRESP 1 filename1.htm K&L GATES LLP HEARST TOWER 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T 704.331.7400 F 704.331.7598 klgates.com June 5, 2014 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Mara L. Ransom Dietrich King Liz Walsh Re: ZBB Energy Corporation Registration Statement on Form

- ZBB ENERGY CORPORATION SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ZBB Energy Corporation (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 W14475 Whittaker Way, Menomonee Falls, Wisconsin 53051 (Address of princ

ZBB Energy Corporation Conflict Minerals Report For The Year Ended December 31, 2013

Exhibit 1.01 ZBB Energy Corporation Conflict Minerals Report For The Year Ended December 31, 2013 Section 1: Introduction and Company Overview This is the Conflict Minerals Report of ZBB Energy Corporation (herein referred to as “ZBB”, the “Company”, “we”, “us”, or “our”) for calendar year 2013 (excepting Conflict Minerals that, prior to January 31, 2013, were located outside the supply chain) in

Current Report

8-K 1 zbbenergycorp8k.htm ZBB ENERGY CORPORATION 8-K 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): May 19, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or ot

ZBB ENERGY CORPORATION EMPLOYMENT AGREEMENT

EX-10.3 4 exh103.htm EXHIBIT 10.3 Exhibit 10.3 ZBB ENERGY CORPORATION EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is entered into on , 2014, by and between Dilek Wagner (“you”) and ZBB Energy Corporation (“ZBB” or the “Company”). RECITALS WHEREAS, you are currently working in a consulting capacity for the Company, pursuant to the Agreement for Professional Services between you and

Current Report

8-K 1 zbb8k.htm ZBB ENERGY CORPORATION 8-K 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): May 15, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisd

JEFFREY REICHARD AGREEMENT FOR PROFESSIONAL SERVICES

Exhibit 10.2 JEFFREY REICHARD AGREEMENT FOR PROFESSIONAL SERVICES This Agreement is made between ZBB Energy Corporation ("Client") with a principal place of business at N93 W14475 Whittaker Way, Menomonee Falls, WI 53051, and Jeffrey Reichard ("Consultant"), with a principal place of business at W353N6318 Marina Drive, Oconomowoc, WI 53066, on this 8th day of February, 2014. 1. Services to be Perf

First Amendment to the License Agreement between ZBB PowerSav Holdings Ltd. and Anhui Meineng Store Energy Co., Ltd., dated December 3, 2013

EX-10.1 2 exh101.htm EXHIBIT 10.1 Exhibit 10.1 ANHUI MEINENG STORE ENERGY CO., LTD. ZBB POWERSAV HOLDINGS LIMITED FIRST AMENDMENT TO LICENSE AGREEMENT This FIRST AMENDMENT TO LICENSE AGREEMENT (this “Amendment”) is made and entered into as of December 3, 2013, by and between ZBB POWERSAV HOLDINGS LTD., a Hong Kong limited liability company (“Hong Kong Holdco”), and ANHUI MEINENG STORE ENERGY CO.,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 [ ] TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33540 (Exact name of re

ZBB Energy Corporation Reports Third Quarter Fiscal Year 2014 Break-even Earnings per Share

EX-99 2 exh99.htm EXHIBIT 99 Exhibit 99 ZBB Energy Corporation Reports Third Quarter Fiscal Year 2014 Break-even Earnings per Share MILWAUKEE, WI – (Marketwire – May 15, 2014) – ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced its financial results for its third fiscal quarter ended Marc

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K&L GATES LLP HEARST TOWER 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T 704.

- ZBB ENERGY S-3

As Filed With the Securities and Exchange Commission on March 20, 2014 Registration No.

INDENTURE ZBB Energy Corporation Dated as of [________] Providing for Issuance of Debt Securities in Series

Exhibit 4.4 INDENTURE between ZBB Energy Corporation and [] TRUSTEE Dated as of [] Providing for Issuance of Debt Securities in Series Reconciliation and tie between Indenture, dated as of , and the Trust Indenture Act of 1939, as amended. Trust Indenture Act of 1939 Section Indenture Section 310(a)(1) 6.11 (a)(2) 6.11 (a)(3) TIA (a)(4) Not Applicable (a)(5) TIA (b) 6.9; 6.11; TIA 311(a) TIA (b) T

ZBB Energy Corporation Announces Proposed Public Offering of Common Stock

Exhibit 99.1 ZBB Energy Corporation Announces Proposed Public Offering of Common Stock MILWAUKEE, WI – (Marketwire – March 13, 2014) — ZBB Energy Corporation (NYSE MKT: ZBB) (the “Company”), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced that it is proposing to offer shares of its common stock in an underwritten public offer

5,500,000 SHARES ZBB ENERGY CORPORATION COMMON STOCK UNDERWRITING AGREEMENT

Exhibit 1 5,500,000 SHARES ZBB ENERGY CORPORATION COMMON STOCK UNDERWRITING AGREEMENT March 14, 2014 National Securities Corporation As representative of the several Underwriters Named in Schedule VII hereto 410 Park Avenue 14th Floor New York, NY 10022 Ladies and Gentlemen: ZBB Energy Corporation, a Wisconsin corporation (the “Company”) proposes, subject to the terms and conditions stated herein,

ZBB ENERGY CORPORATION 5,500,000 of Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-171957 PROSPECTUS SUPPLEMENT (To Prospectus dated March 21, 2011) ZBB ENERGY CORPORATION 5,500,000 of Common Stock This is a firm commitment public offering of 5,500,000 shares of common stock, par value $.01 per share. Our common stock is traded on the NYSE MKT under the symbol “ZBB.” As of March 13, 2014, the aggregate market value of our out

Financial Statements and Exhibits, Other Events - ZBB ENERGY CORPORATION 8-K

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): March 13, 2014 ZBB ENERGY CORPORATION (Exact Name of Registrant as Specified in Charter) Wisconsin 001-33540 39-1987014 (State or Other Jurisdiction of Incorporation) (Commission File

ZBB Energy Corporation Announces Pricing of Public Offering of Common Stock

Exhibit 99.2 ZBB Energy Corporation Announces Pricing of Public Offering of Common Stock MILWAUKEE, WI – (Marketwire – March 14, 2014) — ZBB Energy Corporation (NYSE MKT: ZBB) (the “Company”), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced the pricing of its previously announced underwritten public offering. The Company is o

The information contained in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. A registration statement relating to the securities has been declared effective by the Securities and Exchange Com

424B5 1 zbbenergycorp424b5.htm ZBB ENERGY CORPORATION 424B5 The information contained in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. A registration statement relating to the securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an

Incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2013

Exhibit 10.2 CONFIDENTIAL PORTIONS OF THIS AGREEMENT HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR SUCH PORTIONS. ASTERISKS DENOTE OMISSIONS. AMENDED LICENSE AGREEMENT This Amended License Agreement (“Amended License Agreement”) is entered into as of December 16, 2013 (“Effective Date”), by and between ZBB Energy Corporation (“ZBB”), a Wi

RESEARCH AND DEVELOPMENT AGREEMENT BY AND BETWEEN ZBB Energy Corporation LOTTE Chemical Corporation December 16, 2013 RESEARCH AND DEVELOPMENT AGREEMENT

exh101.htm Exhibit 10.1 CONFIDENTIAL PORTIONS OF THIS AGREEMENT HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR SUCH PORTIONS. ASTERISKS DENOTE OMISSIONS. RESEARCH AND DEVELOPMENT AGREEMENT BY AND BETWEEN ZBB Energy Corporation AND LOTTE Chemical Corporation December 16, 2013 RESEARCH AND DEVELOPMENT AGREEMENT INDEX ARTICLE 1. DEFINITIONS 2

Amendment to COLLABORATION AGREEMENT BY AND BETWEEN ZBB Energy Corporation Honam Petrochemical Corporation (now known as LOTTE Chemical Corporation) Dated 3/25/11

EX-10.3 4 exh103.htm EXHIBIT 10.3 Exhibit 10.3 Amendment to COLLABORATION AGREEMENT BY AND BETWEEN ZBB Energy Corporation AND Honam Petrochemical Corporation (now known as LOTTE Chemical Corporation) Dated 3/25/11 (“Agreement”) This Amendment is effective as of December 16, 2013 (the “Effective Date”), and is by and between LOTTE CHEMICAL CORPORATION (“LOTTE”), a division of LOTTE Group, a Korean

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2013 [ ] TRANSITION REPORT PURSU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2013 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33540 (Exact name of

ZBB Energy Corporation Reports Second Quarter Fiscal Year 2014 Net Loss Improvement of $924,488 Backlog Increases to $8.8 million

Exhibit 99 ZBB Energy Corporation Reports Second Quarter Fiscal Year 2014 Net Loss Improvement of $924,488 Backlog Increases to $8.

Current Report

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): February 13, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin (State or other jurisdiction of incorporation) 001-33540 (Commission file number)

Current Report

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): February 7, 2014 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission fi

Current Report

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): December 20, 2013 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission f

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 zbbenergy8k.htm ZBB ENERGY CORPORATION 8-K 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): December 16, 2013 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or o

ZBB Energy Corporation Announces New Phase of Strategic Partnership with Lotte Chemical

Exhibit 99 ZBB Energy Corporation Announces New Phase of Strategic Partnership with Lotte Chemical MILWAUKEE, WI – (Marketwire – Dec.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 [ ] TRANSITION REPORT PURS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33540 (Exact name o

ZBB Energy Corporation Reports First Quarter Fiscal Year 2014 Net Loss Decrease of $285,000 Product Sales Gross Margin Exceeds Target Goal

Exhibit 99 ZBB Energy Corporation Reports First Quarter Fiscal Year 2014 Net Loss Decrease of $285,000 Product Sales Gross Margin Exceeds Target Goal MILWAUKEE, WI – (Marketwire – Nov.

Current Report

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 14, 2013 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission f

- ZBB ENERGY CORPORATION DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Ru

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits - ZBB ENERGY CORPORATION

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): October 14, 2013 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin (State or other jurisdiction of incorporation) 001-33540 (Commission file number)

ZBB Energy Corporation Receives Notice from NYSE MKT Company Announces 1-for-5 Reverse Stock Split Effective October 31, 2013

Exhibit 99 ZBB Energy Corporation Receives Notice from NYSE MKT Company Announces 1-for-5 Reverse Stock Split Effective October 31, 2013 MILWAUKEE, WI – (Marketwire – Oct.

ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF ZBB ENERGY CORPORATION Pursuant to Section 180.1003 of the Wisconsin Business Corporation Law

Exhibit 3 ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF ZBB ENERGY CORPORATION Pursuant to Section 180.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-33540 (Exa

List of Subsidiaries of ZBB Energy Corporation

Exhibit 21 List of Subsidiaries of ZBB Energy Corporation 1. Tier Electronics LLC (Wisconsin) 2. ZBB Energy Pty Ltd. (Australia) 3. ZBB PowerSav Holdings Limited (Hong Kong) 4. ZBB Cayman Corporation (Cayman Islands)

Entry into a Material Definitive Agreement

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): September 26, 2013 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin (State or other jurisdiction of incorporation) 001-33540 (Commission file number

Current Report

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): September 27, 2013 ZBB Energy Corporation (Exact name of registrant as specified in charter) Wisconsin 001-33540 39-1987014 (State or other jurisdiction of incorporation) (Commission

ZBB Energy Corporation Reports Fiscal Year 2013 Net Loss Decrease of $1.8 Million Commercial Product Sales in Fiscal 2013 More than Tripled From Prior Year

Exhibit 99 ZBB Energy Corporation Reports Fiscal Year 2013 Net Loss Decrease of $1.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-33540 (Exact name of registr

ZBB Energy Corporation Announces $3.0 Million Bridge Financing MILWAUKEE, WI – (MarketWired – Sept. 27, 2013) – ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control sy

Exhibit 99 ZBB Energy Corporation Announces $3.0 Million Bridge Financing MILWAUKEE, WI – (MarketWired – Sept. 27, 2013) – ZBB Energy Corporation (NYSE MKT: ZBB), a leading developer of intelligent, renewable energy power platforms and hybrid vehicle control systems, today announced it entered into a Securities Purchase Agreement with certain investors to sell a total of 3,000 shares of Series B C