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

Mar 14, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2018-03-13

Reporting Person: Port Michael Harry (CFO & Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-03-13	Common Stock	M	2838	—	Acquired	11858	Direct
2018-03-13	Common Stock	F	998	$2.62	Disposed	10860	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-03-13	Restricted Stock Units	$	M	2838	Disposed	2020-03-14	Common Stock (2838.0)	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	$	2019-08-16	Common Stock (3334.0)	3334	Direct
Restricted Stock Units	$	2020-04-04	Common Stock (19307.0)	19307	Direct
Restricted Stock Units	$	2021-02-27	Common Stock (49167.0)	49167	Direct
Stock Option	$15.08	2025-09-17	Common Stock (5000.0)	5000	Direct
Stock Option	$3.17	2027-04-03	Common Stock (28961.0)	28961	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: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.