4//SEC Filing
ENERGY FOCUS, INC/DE 4
Accession 0000924168-16-000049
$EFOICIK 0000924168operating
Filed
Jun 16, 8:00 PM ET
Accepted
Jun 17, 5:22 PM ET
Size
146.3 KB
Accession
0000924168-16-000049
Insider Transaction Report
Form 4
Cohen William
10% Owner
Transactions
- Award
Restricted Stock Units
2016-06-15+11,484→ 11,484 totalExercise: $0.00From: 2017-06-15Exp: 2017-06-15→ Common Stock (11,484 underlying)
Holdings
- 600,000(indirect: By LLC)
Common Stock
- 5,000
Stock Option
Exercise: $10.36From: 2015-08-23Exp: 2025-07-23→ Common Stock (5,000 underlying) - 312(indirect: Held by son)
Stock Option
Exercise: $5.95From: 2015-08-18Exp: 2016-08-12→ Common Stock (312 underlying) - 108,695
Common Stock
- 1,259(indirect: Held by son)
Common Stock
- 5,000
Stock Option
Exercise: $5.50From: 2014-08-15Exp: 2024-07-15→ Common Stock (5,000 underlying)
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.
Issuer
ENERGY FOCUS, INC/DE
CIK 0000924168
Entity typeoperating
IncorporatedOH
Related Parties
1- filerCIK 0000924168
Filing Metadata
- Form type
- 4
- Filed
- Jun 16, 8:00 PM ET
- Accepted
- Jun 17, 5:22 PM ET
- Size
- 146.3 KB