ENERGY FOCUS, INC/DE 4
4 · ENERGY FOCUS, INC/DE · Filed Mar 16, 2016
Insider Transaction Report
Form 4
Tu James
Director
Transactions
- Award
Restricted Stock Units
2016-03-14+37,915→ 37,915 totalFrom: 2017-03-14Exp: 2019-03-14→ Common Stock (37,915 underlying) - Award
Stock Option
2016-03-14+51,350→ 51,350 totalExercise: $7.70From: 2017-03-14Exp: 2026-03-14→ Common Stock (51,350 underlying)
Holdings
- 80,000
Stock Option
Exercise: $4.10From: 2014-12-28Exp: 2024-01-28→ Common Stock (80,000 underlying) - 300,000(indirect: Held by 5 Elements Global Fund L.P.)
Common Stock
- 40,000
Stock Option
Exercise: $2.30From: 2014-04-29Exp: 2023-04-29→ Common Stock (40,000 underlying) - 80,000
Stock Option
Exercise: $5.47From: 2016-03-16Exp: 2025-03-16→ Common Stock (80,000 underlying)
Footnotes (4)
- [F1]James Tu has investment and voting power over the shares.
- [F2]Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
- [F3]Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
- [F4]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.