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

Mar 17, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2016-03-14

Reporting Person: Tu James (Director, Executive Chairman & CEO)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-03-14	Stock Option	$7.7	A	51350	Acquired	2026-03-14	Common Stock (51350.0)	Direct
2016-03-14	Restricted Stock Units	$	A	37915	Acquired	2019-03-14	Common Stock (37915.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	300000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option	$2.3	2023-04-29	Common Stock (40000.0)	40000	Direct
Stock Option	$4.1	2024-01-28	Common Stock (80000.0)	80000	Direct
Stock Option	$5.47	2025-03-16	Common Stock (80000.0)	80000	Direct

Footnotes

F1: James Tu has investment and voting power over the shares.

F2: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.

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

F4: 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.