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

Jun 22, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2018-06-20

Reporting Person: Ramelot Michael Rush (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-06-20	Common Stock	M	18443	—	Acquired	32927	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-06-20	Restricted Stock Units	$	M	18443	Disposed	2018-06-20	Common Stock (18443.0)	Direct
2018-06-20	Restricted Stock Units	$	A	15000	Acquired		Common Stock (15000.0)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option	$10.36	2025-07-23	Common Stock (5000.0)	5000	Direct
Stock Option	$5.5	2024-07-16	Common Stock (5000.0)	5000	Direct
Stock Option	$4.8	2023-12-18	Common Stock (5000.0)	5000	Direct

Footnotes

F1: Restricted stock units convert into Common Stock on a one-for-one basis.

F2: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F3: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F4: Date applies to 1/12th of the total, as options vest monthly over a twelve month period.