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
- The shares are held by the Hadley B. White Trust Account, of which the Reporting Person is a trustee.
- The shares are held by the Henry F. White Trust Account, of which the Reporting Person is a trustee.
- Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
Billionaire Hedge Funds
