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ENERGY FOCUS, INC/DE — Director's Dealing 2014
May 19, 2014
35068_dirs_2014-05-19_28772995-c5b3-4e36-8b76-e5a83997c0f8.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: 2013-10-04
Reporting Person: Bright Horizon Partners Inc. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-31 | Common Stock | C | 11304347 | $0.23 | Acquired | 11304347 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-10-04 | Subordinated Convertible Note | $0.23 | A | Acquired | 2016-12-31 | Common Stock () | Direct | |
| 2014-03-31 | Subordinated Convertible Note | $0.23 | C | Disposed | 2016-12-31 | Common Stock () | Direct | |
| 2014-03-31 | Subordinated Convertible Note | $0.23 | C | Disposed | 2016-12-31 | Common Stock () | Direct | |
| 2014-03-31 | Subordinated Convertible Note | $0.23 | C | Disposed | 2016-12-31 | Common Stock () | Direct | |
| 2014-03-31 | Subordinated Convertible Note | $0.23 | C | Disposed | 2016-12-31 | Common Stock () | Direct |
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