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Filing Details

Accession Number:
0000924168-17-000012
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-13 16:31:11
Reporting Period:
2017-03-10
Filing Date:
2017-03-13
Accepted Time:
2017-03-13 16:31:11
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
1692451 Brian Bradley White 32000 Aurora Road
Suite B
Solon OH 44139
Cfo & Secretary No Yes 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 2017-03-10 1,600 $3.13 1,600 No 4 P Direct
Common Stock Acquisiton 2017-03-10 975 $3.12 975 No 4 P Indirect Hadley B. White Trust Account
Common Stock Acquisiton 2017-03-10 1,075 $3.12 1,075 No 4 P Indirect Henry F. White Trust Account
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect Hadley B. White Trust Account
No 4 P Indirect Henry F. White Trust Account
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option $4.49 2018-01-03 2027-01-03 81,198 81,198 Direct
Common Stock Restricted Stock Units $0.00 2018-01-03 2020-01-03 32,479 32,479 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2027-01-03 81,198 81,198 Direct
2020-01-03 32,479 32,479 Direct
Footnotes
  1. The shares are held by the Hadley B. White Trust Account, of which the Reporting Person is a trustee.
  2. The shares are held by the Henry F. White Trust Account, of which the Reporting Person is a trustee.
  3. Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.