Filing Details
- Accession Number:
- 0000924168-17-000032
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-16 18:08:52
- Reporting Period:
- 2017-05-08
- Filing Date:
- 2017-05-16
- Accepted Time:
- 2017-05-16 18:08:52
- 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 | 2017-05-08 | 3,333 | $3.14 | 3,333 | 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
- Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
- Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- 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.
- The Restricted Stock Units vest 100% on 01/03/2018.