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ENERGY FOCUS, INC/DE — Director's Dealing 2018
Jan 3, 2018
35068_dirs_2018-01-03_cfdcb55a-2374-41c1-9039-f82ad3de7ff8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2017-12-29
Reporting Person: Tewksbury Ted L III (Director, Chairman, CEO & President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-29 | Common Stock | A | 4612 | $2.0825 | Acquired | 11278 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-01-03 | Restricted Stock Units | $ | M | 20621 | Acquired | 2018-01-04 | Common Stock (20621.0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option | $3.43 | 2027-02-27 | Common Stock (74165.0) | 74165 | Direct |
| Restricted Stock Units | $ | 2020-02-28 | Common Stock (49443.0) | 49443 | 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: The Restricted Stock Units vest 100% on 01/03/2018.
F4: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
F5: 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.