ENERGY FOCUS, INC/DE — Director's Dealing 2018

Jul 3, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2018-07-02

Reporting Person: Turin Jerry (CFO and Secretary)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-07-02	Restricted Stock Units	$	A	50474	Acquired	2021-05-30	Common Stock (50474.0)	Direct
2018-07-02	Stock Option	$1.81	A	75711	Acquired	2028-05-29	Common Stock (75711.0)	Direct

Footnotes

F1: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2: 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.

F3: Restricted stock units convert into Common Stock on a one-for-one basis.

F4: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.