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: 2018-06-29

Reporting Person: Tewksbury Ted L III (Director, Chairman, CEO & President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-06-29	Common Stock	A	5081	$1.615	Acquired	53461	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Restricted Stock Units	$	2021-02-27	Common Stock (165300.0)	165300	Direct
Restricted Stock Units	$	2020-02-28	Common Stock (32962.0)	32962	Direct
Stock Option	$3.43	2027-02-27	Common Stock (74165.0)	74165	Direct

Footnotes

F1: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan.

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-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.