SEC Form 4 · accession 0001437749-15-005394
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
Mar 16, 2015
Accepted (ET)
Mar 18, 2015 · 1:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000924168
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $5.47 | Mar 16, 2015 | A | 80,000 | A | Mar 16, 2016 | Mar 16, 2025 | Common Stock | 80,000 | 80,000 | D |
Explanation of responses
- F1Date applies to one-third of the total. The remaining two-thirds vest monthly over the following two year period.