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ENERGY FOCUS, INC/DE — Director's Dealing 2014
May 20, 2014
35068_dirs_2014-05-20_d2756c17-8fb5-431c-b313-5e8ce2390765.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: 2014-03-31
Reporting Person: Cohen William (10% Owner)
Reporting Person: Costar Partners II, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-31 | Common Stock | C | 1086957 | $0.23 | Acquired | 1086957 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-31 | Convertible Note | $0.23 | C | 1086957 | Disposed | 2015-12-31 | Common Stock (1086957) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4000000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant (Right to Buy) | $0.5400 | 2015-03-02 | Common Stock (2000000) | 2000000 | Indirect |
Footnotes
F1: William Cohen is the Manager and controlling Member of Costar Partners II, LLC.
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