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ENERGY FOCUS, INC/DE — Director's Dealing 2015
Jul 27, 2015
35068_dirs_2015-07-27_a06ebf54-0caf-48f4-8660-09b4257093e2.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: 2015-07-23
Reporting Person: Cohen William (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-07-23 | Stock Option | $10.36 | A | 5000 | Acquired | 2025-07-23 | Common Stock (5000.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 600000 | Indirect |
| Common Stock | 108695 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0.0 | 2017-03-16 | Common Stock (750.0) | 750 | Indirect |
| Stock Option | $5.95 | 2024-11-04 | Common Stock (750.0) | 750 | Indirect |
| Stock Option | $5.5 | 2024-07-15 | Common Stock (5000.0) | 5000 | Direct |
Footnotes
F1: William Cohen is the Manager and controlling Member of Costar Partners II, LLC.
F2: Date applies to 1/12th of the total as option vests monthly over a twelve month period.
F3: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
F4: The Restricted Stock Units vest 100% on 3/16/2017 subject to continued employment.
F5: These securities are held by the reporting person's son. The reporting person disclaims beneficial ownership of the securities.
F6: Date applies to 1/4th of the total as option vests monthly over a 36 month period thereafter.