AI assistant
ENERGY FOCUS, INC/DE — Director's Dealing 2016
Jun 17, 2016
35068_dirs_2016-06-17_0f19782c-ee14-42e4-bcf6-32077afaefd7.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2016-06-15
Reporting Person: Cohen William (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-06-15 | Restricted Stock Units | $0.0 | A | 11484 | Acquired | 2017-06-15 | Common Stock (11484.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1259 | Indirect |
| Common Stock | 600000 | Indirect |
| Common Stock | 108695 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $5.5 | 2024-07-15 | Common Stock (5000.0) | 5000 | Direct |
| Stock Option | $10.36 | 2025-07-23 | Common Stock (5000.0) | 5000 | Direct |
| Stock Option | $5.95 | 2016-08-12 | Common Stock (312.0) | 312 | Indirect |
Footnotes
F1: These securities are held by the reporting person's son. The reporting person disclaims beneficial ownership of the securities.
F2: William Cohen is the Manager and controlling Member of Costar Partners II, LLC.
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 06/15/2017.
F5: Date applies to 1/12th of the total as options vest monthly over a twelve month period.
F6: Unvested stock options were forfeited concurrent with the Reporting Person's son's separation from the Company. The stock options that vested will remain exercisable until August 12, 2016.