SEC Form 4 · accession 0001437749-15-002959
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Cohen
Director · 10% Owner
Period of report
Feb 17, 2015
Accepted (ET)
Feb 18, 2015 · 4:45 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 | Feb 17, 2015 | X | 200,000 | $4.30 | A | 600,000 | I | Held by Costar Partners II, LLC |
| Common Stock | holding | — | — | — | 108,695 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy)F1 | $4.30 | Feb 17, 2015 | X | 200,000 | D | Mar 2, 2012 | Mar 2, 2015 | Common Stock | 200,000 | 0 | I |
| Stock OptionF2 | $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.
- F2Date applies to 1/12th of the total as option vest monthly over a twelve month period.