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ENERGY FOCUS, INC/DE — Director's Dealing 2013
Jan 2, 2013
35068_dirs_2013-01-02_a7208168-b111-424c-b4e6-e34930927704.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2012-12-31
Reporting Person: PLUSH MARK J (Chief Financial Officer and VP)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-31 | Common Stock | A | 19796 | $0.1326 | Acquired | 19796 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock option | $0.54 | 2021-07-07 | Common Stock (200000) | 200000 | Direct |
| Warrants to purchase Common Stock | $0.01 | 2016-08-11 | Common Stock (125000) | 325000 | Direct |
Footnotes
F1: Acquired through the 1994 Employee Stock Purchase Plan
F2: Twenty-five percent is exercisable on the date shown, and the remaining 75% becomes exercisable monthly in equal amounts over the following 36 months.
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