ENERGY FOCUS, INC/DE — Director's Dealing 2019

Feb 28, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2019-02-26

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-02-26	Common Stock	M	55100	—	Acquired	108561	Direct
2019-02-26	Common Stock	F	22370	$1.14	Disposed	86191	Direct
2019-02-27	Common Stock	M	16481	—	Acquired	102672	Direct
2019-02-27	Common Stock	F	6738	$1.21	Disposed	95934	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-02-26	Restricted Stock Units	$	M	55100	Disposed	2021-02-27	Common Stock (55100.0)	Direct
2019-02-27	Restricted Stock Units	$	M	16481	Disposed	2020-02-28	Common Stock (16481.0)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option	$3.43	2027-02-27	Common Stock (74165.0)	74165	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.