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*DJ EnSync Energy Systems Receives Notices From NYSE Amer

*DJ EnSync Energy Systems Receives Notices From NYSE Amer

*DJ EnSync Energy Systems收到紐約證券交易所美國證券交易所(NYSE Amer)的通知
道琼斯 ·  2019/02/21 21:01

Press Release: EnSync Energy Systems receives Notices from NYSE American

新聞稿:EnSync Energy Systems收到紐約證交所美國公司的通知

EnSync Energy Systems receives Notices from NYSE American

EnSync Energy Systems收到紐約證交所美國公司的通知

PR Newswire

美通社

MILWAUKEE, Feb. 21, 2019

密爾沃基,2019年2月21日

MILWAUKEE, Feb. 21, 2019 /PRNewswire/ -- EnSync, Inc. (NYSE American: ESNC), dba EnSync Energy Systems (the "Company"), which is creating the future of electricity with innovative residential and commercial distributed energy resource (DER) systems and Internet of Energy (IOE) control platforms, reported that on February 18, 2019 it received a deficiency letter from the NYSE American LLC (the "Exchange") informing the Company that it is not in compliance with the Exchange's continued listing standards as set forth in Sections 801(h), 804 and 805 of the Exchange's Company Guide (the "Company Guide"). Specifically, given the fact that the Company's four independent directors resigned on February 11, 2019, the Exchange has determined the Company does not meet the requirements of Section 801(h) as it does not have (i) a board of directors consisting of at least 50% independent directors or (ii) an audit committee comprised of at least two independent members. Furthermore, Rule 10A-3 of the Securities and Exchange Act of 1934, as amended, requires an audit committee consisting of one independent member. Additionally, the Company does not have sufficient independent directors to fulfill the requirements with respect to board nominations and executive compensation required by Sections 804 and 805 of the Company Guide. The Company's continued listing on the Exchange is predicated on (i) appointing one independent director to the Company's board of directors and audit committee no later than March 18, 2019 and (ii) regaining compliance with all other corporate governance requirements of Part 8 of the Company Guide no later than April 18, 2019.

密爾沃基,2019年2月21日/美通社/--EnSync,Inc.(紐約證券交易所美國股票代碼:ESNC),dba EnSync Energy Systems(以下簡稱“公司”),該公司正在用創新的住宅和商業分佈式能源(DER)系統和能源網(IOE)控制平台創造電力的未來,該公司報告稱,2019年2月18日收到紐約證券交易所美國有限責任公司(NYSE American LLC)(以下簡稱“交易所”)的一封缺陷信,通知該公司它不符合交易所的規定。聯交所“公司指南”(“公司指南”)第804及805條。具體地説,鑑於本公司的四名獨立董事已於2019年2月11日辭職,聯交所認定本公司不符合第801(H)條的要求,因為本公司沒有(I)由至少50%的獨立董事組成的董事會或(Ii)由至少兩名獨立成員組成的審計委員會。此外,修訂後的1934年“證券交易法”(Securities And Exchange Act)第10A-3條要求成立一個由一名獨立成員組成的審計委員會。此外,公司沒有足夠的獨立董事來滿足公司指南第804條和第805條關於董事會提名和高管薪酬的要求。本公司繼續在聯交所上市的前提是:(I)不遲於2019年3月18日委任一名獨立董事進入本公司董事會和審計委員會;及(Ii)不遲於2019年4月18日重新遵守公司指南第8部的所有其他公司治理要求。

In the interim, the Company's common stock will continue to be listed on the Exchange, subject to the Company's compliance with other continued listing requirements, and will continue to trade under the symbol "ESNC, " with the added designation of ".BC" to indicate that the Company is below compliance with the Exchange's listing standards. The Exchange also publishes a list of noncompliant issuers and displays the .BC indicator on its website.

在此期間,公司的普通股將繼續在聯交所上市,條件是公司遵守了其他持續上市的要求,並將繼續以“ESNC”的代碼交易,並加上“.BC”的名稱,以表明公司的上市標準低於聯交所的上市標準。該交易所還發布了一份不合規的發行人名單,並在其網站上顯示了.BC指標。

On February 20, 2019, the Company received a separate deficiency letter from the Exchange informing the Company that it is not in compliance with the Exchange's continued listing standards as the Company failed to timely file its Quarterly Report on Form 10-Q for the period ended December 31, 2018 (the "Delinquent Report"), which was due to be filed with the Securities and Exchange Commission ("SEC") no later than February 14, 2019 (collectively the "Filing Delinquency").

於2019年2月20日,本公司收到聯交所發出的另一封短函,通知本公司因本公司未能及時提交本應於2019年2月14日前呈交證券交易委員會(“SEC”)的截至2018年12月31日的10-Q表格季度報告(“拖欠報告”),以致未能遵守聯交所的持續上市標準。

As a result of the foregoing, the Company has become subject to the procedures and requirements of Section 1007 of the Company Guide. During the six-month period from the date of the Filing Delinquency (the "Initial Cure Period"), the Exchange will monitor the Company and the status of the Delinquent Report and any subsequent reports until the Filing Delinquency is cured. If the Company fails to cure the Filing Delinquency within the Initial Cure Period, the Exchange may, in its sole discretion, allow the Company's securities to be traded for up to an additional six-month period (the "Additional Cure Period"), depending on the Company's specific circumstances. If the Exchange determines that an Additional Cure Period is not appropriate, suspension and delisting procedures will commence in accordance with the procedures set forth in Section 1010 of the Company Guide.

由於上述原因,本公司必須遵守“公司指南”第1007節的程序和要求。自申報拖欠之日起的六個月期間(“初步治療期”),聯交所將監察本公司、拖欠報告及任何後續報告的狀況,直至申報拖欠被糾正為止。如果本公司未能在最初的治療期內糾正備案違約,聯交所可根據本公司的具體情況,單獨決定允許本公司的證券交易最多6個月的額外期間(“額外治療期”)。如果聯交所確定額外的保證期不合適,將根據公司指南第1010節規定的程序啟動停牌和退市程序。

Notwithstanding the foregoing, however, the Exchange may in its sole discretion decide (i) not to afford the Company any Initial Cure Period or Additional Cure Period, as the case may be, at all or (ii) at any time during the Initial Cure Period or Additional Cure Period, to truncate the Initial Cure Period or Additional Cure Period, as the case may be. Furthermore, the Exchange may immediately commence suspension and delisting procedures if the Company is subject to delisting pursuant to any other provision of the Company Guide, including if the Exchange believes, in its sole discretion, that continued listing and trading of the Company's securities on the Exchange is inadvisable or unwarranted in accordance with Sections 1001-1006 of the Company Guide.

然而,儘管有上述規定,聯交所仍可全權酌情決定(I)完全不向本公司提供任何初步治療期或額外治療期(視屬何情況而定),或(Ii)在初始治療期或額外治療期(視屬何情況而定)期間的任何時間截短最初治療期或額外治療期(視屬何情況而定)。此外,如本公司須根據公司指引任何其他條文退市,包括聯交所全權酌情認為根據公司指引第1001-1006條,本公司證券不宜繼續在聯交所上市及買賣,聯交所可立即開始暫停上市及退市程序。

In the interim, the Company's common stock will continue to be listed on the Exchange, subject to the Company's compliance with other continued listing requirements, and will continue to trade under the symbol "ESNC." The Exchange will make a late filer (".LF") indicator available on the consolidated tape. Each data vendor that disseminates the quotes and trades of Exchange-listed issuers may append this indicator to the ticker symbol of the Company. Each vendor is free to use an indicator of its own choosing so the letter or symbol used to indicate this status may differ from vendor to vendor. The Exchange also publishes a list of noncompliant issuers and displays the .LF indicator on its website.

在此期間,公司的普通股將繼續在聯交所上市,條件是公司遵守其他持續上市的要求,並將繼續以“ESNC”的代碼進行交易。Exchange將在整合磁帶上提供延遲文件管理器(“.LF”)指示器。每一家發佈交易所上市發行人報價和交易的數據供應商均可將本指標附加在本公司的股票代碼上。每個供應商都可以自由使用自己選擇的指示器,因此用於指示此狀態的字母或符號可能因供應商而異。該交易所還發布了一份不合規的發行人名單,並在其網站上顯示了.LF指標。

As previously disclosed in the Company's Current Report on Form 8-K filed with the SEC on February 12, 2019, the Company has a very short term need for additional financing; however, the Company currently has no commitments to obtain any additional financing and if it does not obtain sufficient financing in the very near term it will likely need to discontinue operations and initiate insolvency proceedings. Accordingly, the Company has continued to actively pursue additional financing and take steps to reduce costs. To this end, on February 14, 2019, the Company conducted a reduction-in-force, impacting approximately 25 employees of the Company.

正如公司在2019年2月12日提交給證券交易委員會的最新的8-K表格報告中披露的那樣,公司有非常短期的額外融資需求;然而,公司目前沒有獲得任何額外融資的承諾,如果它不能在短期內獲得足夠的融資,它可能需要停止運營並啟動破產程序。因此,公司繼續積極尋求額外融資,並採取措施降低成本。為此,2019年2月14日,本公司進行了有效的減產,影響到本公司約25名員工。

About EnSync Energy Systems

關於EnSync能源系統公司

EnSync, Inc. (NYSE American: ESNC), dba EnSync Energy Systems (EnSync Energy), is creating the future of electricity with innovative distributed energy resource (DER) systems and internet of energy (IOE) control platforms. EnSync Energy ensures the most cost-effective and resilient electricity, delivered from an electrical infrastructure that prioritizes the use of all available resources, such as renewables, energy storage and the utility grid. As project developer, EnSync Energy's distinctive engagement methodology encompasses load analysis, system design consulting, and technical and financial modeling to ensure energy systems are sized and optimized to meet our customers' objectives for value and performance. Proprietary direct current (DC) power control hardware, energy management software, and extensive experience with numerous energy storage technologies uniquely positions EnSync Energy to deliver fully integrated systems that provide for efficient design, procurement, commissioning, and ongoing operation. EnSync Energy's IOE control platform adapts easily to ever-changing generation and load variables, as well as changes in utility prices and programs, ensuring the means to make or save money behind-the-meter, while concurrently providing utilities the opportunity to use DERs for an array of grid enhancing services. In addition to direct system sales, EnSync Energy includes power purchase agreements (PPAs) in its portfolio of offerings, which enables electricity savings for customers and provides a stable financial yield for investors. EnSync Energy is a global corporation, with joint venture Meineng Energy in AnHui, China, and energy project development subsidiary Holu Energy LLC in Hawaii. For more information, visit www.ensync.com.

EnSync,Inc.(紐約證券交易所美國市場代碼:ESNC),dba EnSync Energy Systems(EnSync Energy),正在用創新的分佈式能源(DER)系統和能源互聯網(IOE)控制平台創造電力的未來。EnSync Energy確保通過優先使用所有可用資源(如可再生能源、能源存儲和公用電網)的電力基礎設施提供最具成本效益和彈性的電力。作為項目開發人員,EnSync Energy獨特的參與方法包括負載分析、系統設計諮詢以及技術和財務建模,以確保能源系統的規模和優化能夠滿足客户的價值和性能目標。專有的直流(DC)電源控制硬件、能源管理軟件以及在多種能源存儲技術方面的豐富經驗,使EnSync Energy具有獨特的優勢,能夠提供全面集成的系統,提供高效的設計、採購、調試和持續運營。EnSync Energy的IOE控制平台可以輕鬆適應不斷變化的發電和負荷變量,以及公用事業價格和計劃的變化,確保在電錶背後賺錢或省錢的手段,同時為公用事業公司提供使用DER進行一系列電網增強服務的機會。除了直接系統銷售,EnSync Energy在其產品組合中還包括購電協議(PPA),這為客户節省了電力,併為投資者提供了穩定的財務收益。EnSync Energy是一家全球性公司,在中國安徽成立了美能能源(Meineng Energy)的合資企業,在夏威夷成立了能源項目開發子公司Holu Energy LLC。欲瞭解更多信息,請訪問www.ensync.com。

Safe Harbor Statement

安全港聲明

This press release contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, that are intended to be covered by the "safe harbor" created by those sections. Forward-looking statements, which are based on certain assumptions and describe our future plans, strategies and expectations, can generally be identified by the use of forward-looking terms such as "believe," "expect," "may," "will," "should," "could," "seek," "intend," "plan," "goal," "estimate," "anticipate" or other comparable terms. All statements other than statements of historical facts included in this press release regarding our strategies, prospects, financial condition, operations, costs, plans and objectives are forward-looking statements. Examples of forward-looking statements include, among others, statements we make regarding project completion timelines, our ability to monetize our PPA assets, statements regarding the sufficiency of our capital resources, expected operating losses, expected revenues, expected expenses and our expectations concerning our business strategy. Forward-looking statements are neither historical facts nor assurances of future performance. Instead, they are based only on our current beliefs, expectations and assumptions regarding the future of our business, future plans and strategies, projections, anticipated events and trends, the economy and other future conditions. Because forward-looking statements relate to the future, they are subject to inherent uncertainties, risks and changes in circumstances that are difficult to predict and many of which are outside of our control. Our actual results and financial condition may differ materially from those indicated in the forward-looking statements. Therefore, you should not rely on any of these forward-looking statements. Important factors that could cause our actual results and financial condition to differ materially from those indicated in the forward-looking statements include, among others, the following: our historical and anticipated future operation losses and our ability to continue as a going concern; our ability to raise the necessary capital to fund our operations and the risk of dilution to shareholders from capital raising transactions; our ability to successfully commercialize new products, including our EnSync Smart Home Energy System, Matrix TM Energy Management, DER Flex TM, DER SuperModule TM, and Agile TM Hybrid Storage Systems; our ability to lower our costs and increase our margins; our product, customer and

本新聞稿包含1933年證券法(經修訂)第27A條和1934年證券交易法(經修訂)第21E條所指的前瞻性陳述,這些陳述旨在被這些條款創造的“安全港”所涵蓋。前瞻性陳述基於某些假設,描述我們未來的計劃、戰略和預期,通常可以通過使用“相信”、“預期”、“可能”、“將”、“應該”、“可能”、“尋求”、“打算”、“計劃”、“目標”、“估計”、“預期”或其他類似術語來識別。本新聞稿中除有關歷史事實的陳述外,有關我們的戰略、前景、財務狀況、運營、成本、計劃和目標的所有陳述均為前瞻性陳述。前瞻性陳述的例子包括,我們關於項目完成時間表、我們將PPA資產貨幣化的能力、關於我們資本資源的充足性、預期的營業虧損、預期的收入、預期的費用以及我們對業務戰略的期望的陳述。前瞻性陳述既不是歷史事實,也不是對未來業績的保證。相反,它們僅基於我們目前對業務未來、未來計劃和戰略、預測、預期事件和趨勢、經濟和其他未來狀況的信念、預期和假設。由於前瞻性陳述與未來有關,它們會受到固有的不確定性、風險和環境變化的影響,這些不確定性、風險和環境變化很難預測,其中許多是我們無法控制的。我們的實際結果和財務狀況可能與前瞻性陳述中顯示的大不相同。因此, 您不應該依賴這些前瞻性陳述中的任何一種。可能導致我們的實際結果和財務狀況與前瞻性陳述中指出的大不相同的重要因素包括但不限於:我們歷史上和預期中的未來運營虧損以及我們繼續經營下去的能力;我們籌集必要資本為我們的運營提供資金的能力以及融資交易對股東的稀釋風險;我們成功地將新產品商業化的能力,包括我們的EnSync智能家居能源系統、Matrix TM能源管理、Der Flex TM、Der SuperModule TM和Agile TM混合存儲系統;我們降低成本的能力;我們成功地將新產品商業化的能力,包括我們的EnSync智能家居能源系統、Matrix TM能源管理、Der Flex TM、Der SuperModule TM和Agile TM混合存儲系統

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Press Release: EnSync Energy Systems receives -2-

新聞稿:EnSync Energy Systems收到-2-

geographic concentration, and lack of revenue diversification; the length and variability of our sales cycle; our dependence on governmental mandates and the availability of rebates, tax credits and other economic incentives related to alternative energy resources and the regulatory treatment of third-party owned solar energy systems; and the other risks and uncertainties described in the Risk Factors and in Management's Discussion and Analysis of Financial Condition and Results of Operations sections of our most recently filed Annual Report on Form 10-K and our subsequently filed Quarterly Report(s) on Form 10-Q. We undertake no obligation to publicly update any forward-looking statement, whether written or oral, that may be made from time to time, whether as a result of new information, future developments or otherwise.

這些風險和不確定性因素包括但不侷限於我們在提交給美國證券交易委員會的報告中(包括但不限於我們在提交的10-K表年報和後續的10-Q表季報中介紹的其他風險和不確定性);我們對政府授權的依賴,以及與替代能源和第三方擁有的太陽能系統的監管待遇相關的退税、税收抵免和其他經濟激勵措施;以及我們在風險因素和管理層對財務狀況和經營結果的討論和分析中描述的其他風險和不確定性因素,這些風險和不確定性因素包括但不限於我們最近提交的10-K表年報以及隨後提交的10-Q表季報。我們沒有義務公開更新任何可能不時做出的前瞻性陳述,無論是書面的還是口頭的,無論是由於新信息、未來發展還是其他原因。

EnSync Energy Media Contact:

EnSync能源媒體聯繫人:

Michelle Montague

米歇爾·蒙塔古

mmontague@ensync.com

郵箱:mmontague@ensync.com

(262) 735-5676

(262) 735-5676

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SOURCE EnSync, Inc.

來源EnSync,Inc.

/Web site: http://www.ensync.com

網址:http://www.ensync.com



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February 21, 2019 08:00 ET (13:00 GMT)

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*DJ EnSync Energy Systems Receives Notices From NYSE Amer

*DJ EnSync Energy Systems收到紐約證券交易所美國證券交易所(NYSE Amer)的通知



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