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ENERGY FOCUS, INC/DE — Director's Dealing 2017
Mar 20, 2017
35068_dirs_2017-03-20_0194594c-8164-41b3-bf7b-76b4a63f62a3.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2017-03-16
Reporting Person: Port Michael Harry (CFO & Secretary)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2937 | 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 (2347.0) | Direct | |
| Restricted Stock Units | $ | 2019-08-16 | Common Stock (5000.0) | Direct | |
| Restricted Stock Units | $ | 2020-03-14 | Common Stock (8561.0) | 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 1,173 of the restricted stock units. The remaining 1,174 restricted stock units vest on March 16, 2019.
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.