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Filing Details

Accession Number:
0000924168-16-000027
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-04-27 16:35:21
Reporting Period:
2016-03-14
Filing Date:
2016-04-27
Accepted Time:
2016-04-27 16:35:21
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
1584227 William Cohen 53 East 34Th Street
Patterson NJ 07514
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 Acquisiton 2016-03-14 1,259 $7.88 1,259 No 4 P Indirect Held by son
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by son
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Acquisiton 2016-03-16 490 $0.00 490 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,240 2017-03-16 2019-04-16 No 4 A Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 600,000 Indirect Held by Costar Partners II, LLC
Common Stock 108,695 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option $5.50 2014-08-15 2024-07-15 5,000 5,000 Direct
Common Stock Stock Option $10.36 2015-08-23 2025-07-23 5,000 5,000 Direct
Common Stock Stock Option $5.95 2015-08-18 2024-11-04 750 750 Indirect
Common Stock Restricted Stock Units $0.00 2017-03-16 2017-03-16 750 750 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2024-07-15 5,000 5,000 Direct
2025-07-23 5,000 5,000 Direct
2024-11-04 750 750 Indirect
2017-03-16 750 750 Indirect
Footnotes
  1. William Cohen is the Manager and controlling Member of Costar Partners II, LLC.
  2. These securities are held by the reporting person's son. The reporting person disclaims beneficial ownership of the securities.
  3. Date applies to 1/12th of the total as options vest monthly over a twelve month period.
  4. Date applies to one-fourth of the total. The remaining three-fourths vest in equal monthly installments thereafter over a 3 year period.
  5. The Restricted Stock Units vest 100% on 3/16/2017, subject to continued employment.
  6. Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.