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$EFOI·4/A

ENERGY FOCUS, INC/DE · Jan 29, 9:25 AM ET

ENERGY FOCUS, INC/DE 4/A

4/A · ENERGY FOCUS, INC/DE · Filed Jan 29, 2014

Insider Transaction Report

Form 4/AAmended
Period: 2013-04-29
ENERGY FOCUS, INC/DEEFOI
Tu James
Director
Transactions
  • Award

    Stock Option

    2013-04-29+400,000→ 400,000 total
    Exercise: $0.23From: 2013-05-29Exp: 2023-04-29→ Common Stock (400,000 underlying)
Holdings

  • Common Stock

    (indirect: Shares held by 5 Elements Global Fund LP)
    1,800,000

  • Warrant

    (indirect: Warrants held by 5 Elements Global Fund LP)
    Exercise: $0.43From: 2012-02-27Exp: 2015-02-27→ Common Stock (900,000 underlying)
    900,000
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

1 file
  • 4
    rdgdoc.xml

    FORM 4/A