4/A//SEC Filing
ENERGY FOCUS, INC/DE 4/A
Accession 0001437749-14-001168
$EFOICIK 0000924168operating
Filed
Jan 28, 7:00 PM ET
Accepted
Jan 29, 9:25 AM ET
Size
7.5 KB
Accession
0001437749-14-001168
Insider Transaction Report
Form 4/AAmended
Tu James
Director
Transactions
- Award
Stock Option
2013-04-29+400,000→ 400,000 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
- 900,000(indirect: Warrants held by 5 Elements Global Fund LP)
Warrant
Exercise: $0.43From: 2012-02-27Exp: 2015-02-27→ Common Stock (900,000 underlying)
Footnotes (3)
- [F1]Warrant was originally issued at $0.54/share; however, was re-priced per the terms of the warrant to $0.43/share.
- [F3]James Tu has investment and voting power over the shares.
- [F4]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 typeoperating
IncorporatedOH
Related Parties
1- filerCIK 0000924168
Filing Metadata
- Form type
- 4/A
- Filed
- Jan 28, 7:00 PM ET
- Accepted
- Jan 29, 9:25 AM ET
- Size
- 7.5 KB