ENERGY FOCUS, INC/DE — Director's Dealing 2020

Dec 29, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2020-12-28

Reporting Person: NESTOR TOD A (President, CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-28	Common Stock	M	10625	$2.10	Acquired	45432	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-28	Stock Option	$2.1	M	10625	Disposed	2029-07-16	Common Stock (10625.0)	Direct

Footnotes

F1: The Reporting Person's holdings are adjusted in this report to reflect the 5-for-1 reverse stock split that occurred on June 11, 2020 (as to 150,000 previously-reported shares), plus the exempt acquisition of 4,807 shares under the Issuer's Employee Stock Purchase Plan.

F2: The stock option was originally reported as covering 150,000 shares at an exercise price of $0.42 per share, but is adjusted in this report to reflect the 5-for-1 reverse stock split that occurred on June 11, 2020.