Filing Details

Accession Number:
0000924168-17-000034
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-19 16:31:56
Reporting Period:
2017-05-19
Filing Date:
2017-05-19
Accepted Time:
2017-05-19 16:31:56
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
1375681 Iii L Ted Tewksbury 32000 Aurora Road
Suite B
Solon OH 44139
Chairman, Ceo & President Yes 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 2017-05-19 3,333 $3.13 6,666 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option $3.43 2018-02-27 2027-02-27 74,165 74,165 Direct
Common Stock Restricted Stock Units $0.00 2018-02-27 2020-02-28 49,443 49,443 Direct
Common Stock Restricted Stock Units $0.00 2018-01-03 2018-01-04 20,621 20,621 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2027-02-27 74,165 74,165 Direct
2020-02-28 49,443 49,443 Direct
2018-01-04 20,621 20,621 Direct
Footnotes
  1. Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
  2. Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
  3. 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.
  4. The Restricted Stock Units vest 100% on 01/03/2018.