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ENERGY FOCUS, INC/DE·4

Feb 27, 4:49 PM ET

KAVESKI JOSEPH G. 4

4 · ENERGY FOCUS, INC/DE · Filed Feb 27, 2013

Insider Transaction Report

Form 4
Period: 2013-02-26
ENERGY FOCUS, INC/DEEFOI
KAVESKI JOSEPH G.
DirectorChief Executive Officer
Transactions
  • Award

    Stock Option

    2013-02-26+140,000→ 590,000 total
    Exercise: $0.23From: 2014-03-31Exp: 2023-02-26→ Common Stock (140,000 underlying)
Holdings

  • Stock Option

    Exercise: $1.37From: 2012-11-24Exp: 2018-11-24→ Common Stock (100,000 underlying)
    200,000

  • Stock Option

    Exercise: $1.07From: 2012-01-18Exp: 2021-01-18→ Common Stock (150,000 underlying)
    450,000

  • Restricted Stock

    55,931

  • Common Stock

    76,174

  • Stock Option

    Exercise: $2.00From: 2012-05-06Exp: 2018-05-06→ Common Stock (100,000 underlying)
    100,000

  • Stock Option

    Exercise: $0.64From: 2010-12-31Exp: 2019-12-31→ Common Stock (100,000 underlying)
    300,000
Footnotes (5)
  • [F1]See Remarks section
  • [F2]25% are exercisable on the date shown, which is the first anniversary following the grant date. The remaining 75% is exercisable in equal monthly installments over the following 36 months.
  • [F3]Options EARNED will vest as follows: 1/3rd on March 31, 2014, and the remaining 2/3rd's monthly over the following 24 months ending March 31, 2016.
  • [F4]25% of target granted options are earned if 2013 revenues meet or exceed 85% of budget, and/or 75% of target granted options are earned if 2013 EBITDA meet or exceed 85% of budget.
  • [F5]Date applies to options EARNED. If the options granted are not EARNED, the option grants are terminated.

Documents

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