SEC Form 4 · accession 0000924168-16-000052
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 15, 2016
Accepted (ET)
Jun 17, 2016 · 5:31 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 | — | — | — | 5,002 | D | ||
| Common StockF1 | 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 UnitsF2,F3 | $0.00 | Jun 15, 2016 | A | 11,484 | A | Jun 15, 2017 | Jun 15, 2017 | Common Stock | 11,484 | 11,484 | D |
Explanation of responses
- F1Mr. Luo is Managing Partner and President of Cleantech Global Limited (formerly Prime Science & Technology, Inc.)
- F2Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- F3The Restricted Stock Units vest 100% on 06/15/2017.