SEC Form 4 · accession 0000924168-17-000046
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Cohen
Director
Period of report
Jun 21, 2017
Accepted (ET)
Jun 22, 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 StockF1 | holding | — | — | — | 600,000 | I | Held by Costar Partners II, LLC | |
| Common Stock | holding | — | — | — | 120,179 | 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 UnitsF3,F2 | $0.00 | Jun 21, 2017 | A | 18,443 | A | — | — | Common Stock | 18,443 | 18,443 | D |
| Stock OptionF4 | $10.36 | holding | — | — | — | Aug 23, 2015 | Jul 23, 2025 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF4 | $5.50 | holding | — | — | — | Aug 15, 2014 | Jul 15, 2024 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1William Cohen is the Manager and controlling Member of Costar Partners II, LLC.
- F2The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.
- F3Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- F4Date applies to 1/12th of the total as options vest monthly over a twelve month period.