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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (2) | 01/03/2018 | M | 20,621 | 01/03/2018(3) | 01/04/2018 | Common Stock | 20,621 | (2) | 0 | D | ||||
Stock Option | $ 3.43 | 02/27/2018(4) | 02/27/2027 | Common Stock | 74,165 | 74,165 | D | ||||||||
Restricted Stock Units | (2) | 02/27/2018(5) | 02/28/2020 | Common Stock | 49,443 | 49,443 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tewksbury Ted L III 32000 AURORA ROAD SUITE B SOLON, OH 44139 |
X | Chairman, CEO & President |
/s/ Michael H. Port as Attorney-in-Fact | 01/03/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan. |
(2) | Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. |
(3) | The Restricted Stock Units vest 100% on 01/03/2018. |
(4) | Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. |
(5) | Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. |