4//SEC Filing
Tu James 4
Accession 0001437749-13-005055
CIK 0000924168other
Filed
Apr 30, 8:00 PM ET
Accepted
May 1, 3:10 PM ET
Size
9.9 KB
Accession
0001437749-13-005055
Insider Transaction Report
Form 4
Tu James
Director
Transactions
- Award
Stock Option
2013-04-29+400,000→ 3,200,000 totalExercise: $0.23From: 2013-05-29Exp: 2023-04-29→ Common Stock (400,000 underlying)
Holdings
- 1,800,000(indirect: Shares held by 5 Elements Global Fund LP)
Common Stock
- 3,800,000(indirect: Shares held by 5 Elements Energy Efficiency Ltd)
Common Stock
- 900,000(indirect: Warrants held by 5 Elements Global Fund LP)
Warrant
Exercise: $0.54From: 2012-02-27Exp: 2015-02-27→ Common Stock (900,000 underlying) - 2,800,000(indirect: Warrants held by 5 Elements Energy Efficiency Ltd)
Warrant
Exercise: $0.54From: 2012-02-27Exp: 2015-02-27→ Common Stock (1,900,000 underlying)
Footnotes (3)
- [F1]James Tu is Founder, Chief Executive Officer and Chief Investment Officer of 5 Elements Global Advisors, which manages the Fund.
- [F2]Communal International Ltd. is a 50% owner of 5 Elements Energy Efficiency Ltd. James Tu is Co-Founder of Communal International Ltd, and has shared voting and shared dispositive power over the shares.
- [F3]Date applies to 1/12th of the total, as options vest monthly over a twelve month period.
Documents
Issuer
ENERGY FOCUS, INC/DE
CIK 0000924168
Entity typeother
Related Parties
1- filerCIK 0001564957
Filing Metadata
- Form type
- 4
- Filed
- Apr 30, 8:00 PM ET
- Accepted
- May 1, 3:10 PM ET
- Size
- 9.9 KB