SEC Form 4 · accession 0000924168-16-000048
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
Jun 15, 2016
Accepted (ET)
Jun 17, 2016 · 5:16 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 | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Jun 15, 2016 | A | 11,484 | A | Jun 15, 2017 | Jun 15, 2017 | Common Stock | 11,484 | 11,484 | D |
| 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 OptionF3 | $10.36 | holding | — | — | — | Aug 23, 2015 | Jul 23, 2025 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- F2The Restricted Stock Units vest 100% on 06/15/2017.
- F3Date applies to 1/12th of the total, as options vest monthly over a twelve month period.