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ENERGY FOCUS, INC/DE — Director's Dealing 2021
Sep 29, 2021
35068_dirs_2021-09-29_b01e5770-6594-428c-a5d4-65b7cbdaf803.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: 2021-09-28
Reporting Person: Warren James Raymond III (SVP, GC & Corp. Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-28 | Common Stock | M | 800 | — | Acquired | 800 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-28 | Restricted Stock Units | $ | M | 800 | Disposed | Common Stock (800.0) | Direct |
Footnotes
F1: Restricted stock units convert into Common Stock on a one-for-one basis.
F2: On September 28, 2020, the reporting person was granted 3,200 restricted stock units, which award vests in four equal annual installments beginning on September 28, 2021.
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