SEC Form 4 · accession 0000924168-16-000045
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jiangang Luo
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 2, 2016 · 6:13 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 StockF1 | Jun 1, 2016 | M | 2,500 | — | A | 5,002 | D | |
| Common StockF2 | holding | — | — | — | 519,565 | I | Held by Cleantech Global Limited, formerly Prime Science and Technology, Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $0.00 | Jun 1, 2016 | M | 2,500 | D | Jun 1, 2016 | Jun 1, 2016 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1Restricted Stock Units convert into Common Stock on a one-for-one basis.
- F2Mr. Luo is Managing Partner and President of Cleantech Global Limited (formerly Prime Science & Technology, Inc.)