SEC Form 4 · accession 0000924168-16-000022
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marcia Jean Miller
Officer — Chief Financial Officer
Period of report
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 7:13 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 | — | — | — | 8,377 | 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 | 13,800 | A | Mar 14, 2017 | Mar 14, 2026 | Common Stock | 13,800 | 13,800 | D |
| Restricted Stock UnitsF2,F3 | — | Mar 14, 2016 | A | 10,190 | A | Mar 14, 2017 | Mar 14, 2019 | Common Stock | 10,190 | 10,190 | D |
| Stock OptionF1 | $5.47 | holding | — | — | — | Mar 16, 2016 | Mar 16, 2025 | Common Stock | 15,000 | 15,000 | D |
| Stock OptionF1 | $4.10 | holding | — | — | — | Jul 19, 2014 | Jul 19, 2023 | Common Stock | 2,500 | 2,500 | D |
| Stock Option | $2.30 | holding | — | — | — | Feb 15, 2014 | Feb 15, 2023 | Common Stock | 2,000 | 2,000 | D |
| Stock OptionF1 | $15.08 | holding | — | — | — | Sep 17, 2016 | Sep 17, 2025 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionF1 | $4.10 | holding | — | — | — | Jan 28, 2015 | Jan 28, 2024 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF4 | $3.90 | holding | — | — | — | Mar 23, 2013 | Mar 23, 2022 | Common Stock | 1,000 | 1,000 | 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.
- F4Date applies to one-fourth of the total. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.