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4//SEC Filing

DAVENPORT JOHN 4

Accession 0001437749-13-002127

CIK 0000924168other
View on SEC.govCompany Profile

Filed

Feb 27, 7:00 PM ET

Accepted

Feb 28, 2:52 PM ET

Size

18.0 KB

Accession

0001437749-13-002127

Insider Transaction Report

Form 4
Period: 2013-02-26
ENERGY FOCUS, INC/DEEFOI
DAVENPORT JOHN
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

Issuer

ENERGY FOCUS, INC/DE

CIK 0000924168

→
Entity typeother

Related Parties

1
  • filerCIK 0001254581

Filing Metadata

Form type
4
Filed
Feb 27, 7:00 PM ET
Accepted
Feb 28, 2:52 PM ET
Size
18.0 KB
View on SEC.gov