Filing Details
- Accession Number:
- 0000902664-10-000008
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-01-05 12:00:00
- Reporting Period:
- 2009-12-31
- Filing Date:
- 2010-01-05
- Accepted Time:
- 2010-01-05 17:40:33
- 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 |
---|---|---|---|---|---|---|---|
1276525 | Diker Management Llc | 745 Fifth Avenue Suite 1409 New York NY 10151 | No | No | Yes | 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, $0.00001 Par Value (The "Common Stock") | Disposition | 2009-12-31 | 375,000 | $0.80 | 2,532,108 | No | 4 | S | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See footnote |
Footnotes
- The shares of Common Stock to which this line refers are held indirectly by Diker Management, LLC (the "Reporting Person"), in its capacity as the registered investment adviser of certain managed accounts and funds. The Reporting Person is a registered investment adviser and as such disclaims all beneficial ownership of these shares and in any case disclaims beneficial ownership of these shares except to the extent of the Reporting Person's pecuniary interest in the shares of Common Stock. The Reporting Person is a registered investment adviser but has elected to file this Form 4 nevertheless.
- (continued from footnote 1)The reported sale was made pursuant to the Letter Agreement and the December Letter Agreement disclosed in the Schedule 13D filed by the Reporting Person on November 12, 2009, in Amendment No. 1 to the Schedule 13D filed by the Reporting Person on December 23, 2009 and pursuant to an agreement with Ouercus Trust as disclosed in the Schedule 13G filed by the Reporting Persons on Januaary 5, 2010.