BUELOW ROGER 4
4 · ENERGY FOCUS, INC/DE · Filed Feb 27, 2013
Insider Transaction Report
Form 4
BUELOW ROGER
VP and Chief Technology Office
Transactions
- Award
Stock Option
2013-02-26+90,000→ 415,000 totalExercise: $0.23From: 2014-03-31Exp: 2023-02-26→ Common Stock (90,000 underlying)
Holdings
- 39,153
Restricted Stock
- 25,000
Stock Option
Exercise: $10.64From: 2009-07-01Exp: 2015-07-01→ Common Stock (25,000 underlying) - 250,000
Stock Option
Exercise: $0.50From: 2012-08-05Exp: 2021-08-05→ Common Stock (200,000 underlying) - 50,000
Stock Option
Exercise: $6.06From: 2011-12-06Exp: 2017-12-06→ Common Stock (25,000 underlying) - 325,000
Stock Option
Exercise: $1.07From: 2012-01-18Exp: 2021-01-18→ Common Stock (75,000 underlying)
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.