SEC Form 4 · accession 0001437749-15-003470
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Tu
Officer — Executive Chairman and CEO · Director
Period of report
Feb 24, 2015
Accepted (ET)
Feb 26, 2015 · 12:22 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 | Feb 24, 2015 | X | 90,000 | $4.30 | A | 300,000 | I | Held by 5 Elements Global Fund L.P. |
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 24, 2015 | X | 90,000 | D | Feb 27, 2012 | Feb 27, 2015 | Common Stock | 90,000 | 0 | I |
Explanation of responses
- F1James Tu has investment and voting power over the shares.