SEC Form 4 · accession 0000924168-17-000012
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley Brian White
Officer — CFO & Secretary
Period of report
Mar 10, 2017
Accepted (ET)
Mar 13, 2017 · 4:31 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 | Mar 10, 2017 | P | 1,600 | $3.13 | A | 1,600 | D | |
| Common StockF1 | Mar 10, 2017 | P | 975 | $3.12 | A | 975 | I | Hadley B. White Trust Account |
| Common StockF2 | Mar 10, 2017 | P | 1,075 | $3.12 | A | 1,075 | I | Henry F. White Trust Account |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $4.49 | holding | — | — | — | Jan 3, 2018 | Jan 3, 2027 | Common Stock | 81,198 | 81,198 | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | Jan 3, 2018 | Jan 3, 2020 | Common Stock | 32,479 | 32,479 | D |
Explanation of responses
- F1The shares are held by the Hadley B. White Trust Account, of which the Reporting Person is a trustee.
- F2The shares are held by the Henry F. White Trust Account, of which the Reporting Person is a trustee.
- F3Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.