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ENERGY FOCUS, INC/DE — Director's Dealing 2014
Jan 29, 2014
35068_dirs_2014-01-29_2b5f7e46-19e7-4f0a-8f25-2d4b7015098d.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2013-04-29
Reporting Person: Tu James (Director, Executive Chairman)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-04-29 | Stock Option | $0.23 | A | 400000 | Acquired | 2023-04-29 | Common Stock (400000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1800000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant | $0.4300 | 2015-02-27 | Common Stock (900000) | 900000 | Indirect |
Footnotes
F1: Warrant was originally issued at $0.54/share; however, was re-priced per the terms of the warrant to $0.43/share.
F3: James Tu has investment and voting power over the shares.
F4: Date applies to 1/12th of the total, as options vest monthly over a twelve month period.
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