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: Miller Marcia Jean (Chief Financial Officer)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-03-14	Stock Option	$7.7	A	13800	Acquired	2026-03-14	Common Stock (13800.0)	Direct
2016-03-14	Restricted Stock Units	$	A	10190	Acquired	2019-03-14	Common Stock (10190.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	8377	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option	$5.47	2025-03-16	Common Stock (15000.0)	15000	Direct
Stock Option	$4.1	2023-07-19	Common Stock (2500.0)	2500	Direct
Stock Option	$2.3	2023-02-15	Common Stock (2000.0)	2000	Direct
Stock Option	$15.08	2025-09-17	Common Stock (10000.0)	10000	Direct
Stock Option	$4.1	2024-01-28	Common Stock (5000.0)	5000	Direct
Stock Option	$3.9	2022-03-23	Common Stock (1000.0)	1000	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: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F3: 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.

F4: Date applies to one-fourth of the total. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.