ENERGY FOCUS, INC/DE — Director's Dealing 2017

Apr 5, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2017-04-03

Reporting Person: Port Michael Harry (CFO & Secretary)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-04-03	Stock Option	$3.17	A	28961	Acquired	2027-04-03	Common Stock (28961.0)	Direct
2017-04-03	Restricted Stock Units	$	A	19307	Acquired	2020-04-04	Common Stock (19307.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2937	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Restricted Stock Units	$	2019-03-16	Common Stock (2347.0)	2347	Direct
Restricted Stock Units	$	2020-03-14	Common Stock (8561.0)	8561	Direct
Restricted Stock Units	$	2019-08-16	Common Stock (5000.0)	5000	Direct
Stock Option	$15.08	2025-09-17	Common Stock (5000.0)	5000	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 1,173 of the restricted stock units. The remaining 1,174 restricted stock units vest on March 16, 2019.