SEC Form 4 · accession 0000924168-18-000053
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Satish Rishi
Director
Period of report
Jun 20, 2018
Accepted (ET)
Jun 22, 2018 · 6:54 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 | 3,169 | — | A | 3,169 | 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 | 3,169 | D | Jun 20, 2018 | Jun 21, 2018 | Common Stock | 3,169 | 3,169 | D |
| Restricted Stock UnitsF1,F2,F3 | — | Jun 20, 2018 | A | 15,000 | A | — | — | Common Stock | 15,000 | 15,000 | 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.
- F3The 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.