SEC Form 4 · accession 0000924168-18-000050
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 20, 2018
Accepted (ET)
Jun 22, 2018 · 6:08 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 20, 2018 | M | 18,443 | — | A | 663,622 | 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 | — | Jun 20, 2018 | M | 18,443 | D | Jun 20, 2018 | Jun 20, 2018 | Common Stock | 18,443 | 0 | D |
| Stock OptionF3 | $10.36 | holding | — | — | — | Aug 23, 2015 | Jul 23, 2025 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF3 | $5.50 | holding | — | — | — | Aug 15, 2014 | Jul 15, 2024 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Restricted stock units convert into Common Stock on a one-for-one basis.
- F2Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- F3Date applies to 1/12th of the total as options vest monthly over a twelve month period.