SEC Form 5 · accession 0001437749-15-002641
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theresa A. Matrisciano
Officer — VP of Human Resources
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 2:58 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 StockF1 | holding | — | — | — | 434 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $4.10 | holding | — | — | — | Jul 19, 2014 | Jul 19, 2023 | Common Stock | 2,500 | 2,500 | D |
| Stock OptionF2 | $4.10 | holding | — | — | — | Jan 28, 2015 | Jul 19, 2023 | Common Stock | 7,500 | 7,500 | D |
Explanation of responses
- F1Acquired through the Energy Focus, Inc. Employee Stock Purchase Plan.
- F2One third vests on the date shown, which is the first anniversary following the grant date. The remainder vests in equal monthly installments through the following two-year period.