SEC Form 4 · accession 0000924168-19-000002
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry Turin
Officer — CFO and Secretary
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 4:40 pm EST
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 | Dec 31, 2018 | A | 6,906 | $0.5259 | A | 6,906 | 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 UnitsF2,F3 | — | holding | — | — | — | May 29, 2019 | May 30, 2021 | Common Stock | 50,474 | 50,474 | D |
| Stock OptionF4 | $1.81 | holding | — | — | — | May 29, 2019 | May 29, 2028 | Common Stock | 75,711 | 75,711 | D |
Explanation of responses
- F1Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan.
- F2Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- F3Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.
- F4Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.