SEC Form 4 · accession 0001628280-15-005464
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Cohen
Director
Period of report
Jul 23, 2015
Accepted (ET)
Jul 27, 2015 · 5:14 pm EDT
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 | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $10.36 | Jul 23, 2015 | A | 5,000 | A | Aug 23, 2015 | Jul 23, 2025 | Common Stock | 5,000 | 5,000 | D |
| Restricted Stock UnitsF3,F5,F4 | $0.00 | holding | — | — | — | Mar 16, 2017 | Mar 16, 2017 | Common Stock | 750 | 750 | I |
| Stock OptionF5,F6 | $5.95 | holding | — | — | — | Aug 18, 2015 | Nov 4, 2024 | Common Stock | 750 | 750 | 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 vests monthly over a twelve month period.
- F3Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- F4The Restricted Stock Units vest 100% on 3/16/2017 subject to continued employment.
- F5These securities are held by the reporting person's son. The reporting person disclaims beneficial ownership of the securities.
- F6Date applies to 1/4th of the total as option vests monthly over a 36 month period thereafter.