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ENERGY FOCUS, INC/DE — Director's Dealing 2018
Jan 3, 2018
35068_dirs_2018-01-03_2bb84666-cdec-451f-b6f0-6bd23751d482.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: Port Michael Harry (CFO & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-29 | Common Stock | A | 3001 | $2.0825 | Acquired | 9020 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | 2020-04-04 | Common Stock (19307.0) | 19307 | Direct |
| Restricted Stock Units | $ | 2020-03-14 | Common Stock (8561.0) | 8561 | Direct |
| Restricted Stock Units | $ | 2019-03-16 | Common Stock (2347.0) | 2347 | Direct |
| Restricted Stock Units | $ | 2019-08-16 | Common Stock (3334.0) | 3334 | Direct |
| Stock Option | $3.17 | 2027-04-03 | Common Stock (28961.0) | 28961 | Direct |
| Stock Option | $15.08 | 2025-09-17 | Common Stock (5000.0) | 5000 | 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 1,173 of the restricted stock units. The remaining 1,174 restricted stock units vest on March 16, 2019.
F5: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.