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Filing Details

Accession Number:
0001628280-15-007218
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-09-18 17:37:55
Reporting Period:
2015-09-16
Filing Date:
2015-09-18
Accepted Time:
2015-09-18 17:37:55
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
924168 Energy Focus Inc EFOI Electric Lighting & Wiring Equipment (3640) 943021850
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1588515 Jiangang Luo 18 Michelle Way
Pine Brook NJ 07058
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2015-09-16 391,304 $15.98 519,565 No 4 S Indirect Held by Cleantech Global Limited, formerly Prime Science and Technology, Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect Held by Cleantech Global Limited, formerly Prime Science and Technology, Inc.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Acquisiton 2015-09-17 2,500 $0.00 2,500 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,500 2016-06-01 2016-06-01 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,502 Direct
Footnotes
  1. Mr. Luo is Managing Partner and President of Cleantech Global Limited (formerly Prime Science & Technology, Inc.)
  2. Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
  3. The Restricted Stock Units vest 100% on 06/01/2016