SEC Form 4 · accession 0001628280-15-007210
ENERGY FOCUS, INC/DE · EFOI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marcia Jean Miller
Officer — Chief Financial Officer
Period of report
Sep 17, 2015
Accepted (ET)
Sep 18, 2015 · 5:28 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 Stock | holding | — | — | — | 7,181 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $15.08 | Sep 17, 2015 | A | 10,000 | A | Sep 17, 2016 | Sep 17, 2025 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.