SEC Form 4 · accession 0000924168-16-000020
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Hilliard
Officer — President & COO
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 7:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000924168
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 10,665 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $7.70 | Mar 14, 2016 | A | 22,020 | A | Mar 14, 2017 | Mar 14, 2026 | Common Stock | 22,020 | 22,020 | D |
| Restricted Stock UnitsF2,F3 | — | Mar 14, 2016 | A | 16,260 | A | Mar 14, 2017 | Mar 14, 2019 | Common Stock | 16,260 | 16,260 | D |
| Stock Option | $71.90 | holding | — | — | — | Nov 13, 2007 | Nov 13, 2016 | Common Stock | 7,500 | 7,500 | D |
| Stock Option | $63.60 | holding | — | — | — | Nov 26, 2008 | Nov 26, 2017 | Common Stock | 5,000 | 5,000 | D |
| Stock Option | $13.70 | holding | — | — | — | Oct 23, 2009 | Oct 23, 2018 | Common Stock | 2,500 | 2,500 | D |
| Stock Option | $10.70 | holding | — | — | — | Jan 18, 2012 | Jan 18, 2021 | Common Stock | 10,000 | 10,000 | D |
| Stock Option | $2.30 | holding | — | — | — | Apr 29, 2014 | Apr 29, 2023 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionF1 | $4.10 | holding | — | — | — | Jan 28, 2015 | Jan 28, 2024 | Common Stock | 12,500 | 12,500 | D |
| Stock OptionF1 | $5.47 | holding | — | — | — | Mar 16, 2016 | Mar 16, 2025 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
- F2Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- F3Date 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.