ENERGY FOCUS, INC/DE — Director's Dealing 2016

Aug 16, 2016

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2016-08-16

Reporting Person: Port Michael Harry (Interim CFO)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	609	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option	$15.08	2025-09-17	Common Stock (5000.0)		Direct
Restricted Stock Units	$	2019-03-16	Common Stock (3520.0)		Direct

Footnotes

F1: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.

F2: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.

F3: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.