ENERGY FOCUS, INC/DE 4

4 · ENERGY FOCUS, INC/DE · Filed Jun 17, 2016

Form 4

Period: 2016-06-15

10% Owner

Transactions

Award
Restricted Stock Units
2016-06-15+11,484→ 11,484 total
Exercise: $0.00From: 2017-06-15Exp: 2017-06-15→ Common Stock (11,484 underlying)

Holdings

Common Stock
(indirect: By LLC)
600,000
Stock Option
Exercise: $10.36From: 2015-08-23Exp: 2025-07-23→ Common Stock (5,000 underlying)
5,000
Stock Option
(indirect: Held by son)
Exercise: $5.95From: 2015-08-18Exp: 2016-08-12→ Common Stock (312 underlying)
312
Common Stock
108,695
Common Stock
(indirect: Held by son)
1,259
Stock Option
Exercise: $5.50From: 2014-08-15Exp: 2024-07-15→ Common Stock (5,000 underlying)
5,000

Footnotes (6)

[F1]These securities are held by the reporting person's son. The reporting person disclaims beneficial ownership of the securities.
[F2]William Cohen is the Manager and controlling Member of Costar Partners II, LLC.
[F3]Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
[F4]The Restricted Stock Units vest 100% on 06/15/2017.
[F5]Date applies to 1/12th of the total as options vest monthly over a twelve month period.
[F6]Unvested stock options were forfeited concurrent with the Reporting Person's son's separation from the Company. The stock options that vested will remain exercisable until August 12, 2016.

Documents

3 files