DAVENPORT JOHN 4

4 · ENERGY FOCUS, INC/DE · Filed Feb 28, 2013

Form 4

Period: 2013-02-26

DirectorPresident

Transactions

Award
Stock option
2013-02-26+20,000→ 484,600 total
Exercise: $0.23From: 2014-03-31Exp: 2023-02-26→ Common Stock (20,000 underlying)

Holdings

Stock option
Exercise: $7.23From: 2007-12-04Exp: 2013-12-04→ Common Stock (20,000 underlying)
160,600
Stock option
Exercise: $2.00From: 2012-05-06Exp: 2018-05-06→ Common Stock (100,000 underlying)
330,600
Stock option
Exercise: $9.60From: 2010-06-28Exp: 2015-06-28→ Common Stock (59,000 underlying)
389,600
Restricted Stock
223,725
Common Stock
71,557
Warrant for Common Stock
Exercise: $1.97From: 2008-03-14Exp: 2013-03-14→ Common Stock (15,600 underlying)
15,600
Warrant for Common Stock
Exercise: $0.01From: 2009-12-30Exp: 2014-12-30→ Common Stock (125,000 underlying)
140,600
Stock option
Exercise: $7.23From: 2008-05-19Exp: 2014-05-19→ Common Stock (20,000 underlying)
180,600
Stock option
Exercise: $6.36From: 2011-04-19Exp: 2017-04-19→ Common Stock (50,000 underlying)
230,600
Stock option
Exercise: $1.07From: 2012-01-18Exp: 2021-01-18→ Common Stock (75,000 underlying)
464,600

Footnotes (5)

[F1]25% is exercisable on the date shown, which is the first anniversay following the grant date. The remaining 75% is exercisable in equal monthly installments over the following 36 months.
[F2]25% of target granted options are earned if 2013 revenues meet of exceed 85% of budget, and/or 75% of target granted options are earned if 2013 EBITDA meet or exceed 85% of budget.
[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]Date applies to options EARNED. If the options granted are not EARNED, the option grants are terminated.
[F5]See Remarks section.

Documents

1 file