SEC Form 4 · accession 0000924168-16-000021
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Rush Ramelot
Director
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 7:12 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 | Mar 14, 2016 | P | 3,000 | $8.05 | A | 3,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $5.50 | holding | — | — | — | Jul 16, 2015 | Jul 16, 2024 | Common Stock | 5,000 | 5,000 | D |
| Stock Option | $4.80 | holding | — | — | — | Dec 18, 2014 | Dec 18, 2023 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF1 | $10.36 | holding | — | — | — | Aug 23, 2015 | Jul 23, 2025 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Date applies to 1/12th of the total, as options vest monthly over a twelve month period.