ENERGY FOCUS, INC/DE 4
4 · ENERGY FOCUS, INC/DE · Filed Apr 27, 2016
Insider Transaction Report
Form 4
Cohen William
10% Owner
Transactions
- Purchase
Common Stock
2016-03-14$7.88/sh+1,259$9,921→ 1,259 total(indirect: Held by son) - Award
Restricted Stock Units
2016-03-16+490→ 1,240 total(indirect: Held by son)Exercise: $0.00From: 2017-03-16Exp: 2019-04-16→ Common Stock (490 underlying)
Holdings
- 5,000
Stock Option
Exercise: $5.50From: 2014-08-15Exp: 2024-07-15→ Common Stock (5,000 underlying) - 5,000
Stock Option
Exercise: $10.36From: 2015-08-23Exp: 2025-07-23→ Common Stock (5,000 underlying) - 750(indirect: Held by son)
Stock Option
Exercise: $5.95From: 2015-08-18Exp: 2024-11-04→ Common Stock (750 underlying) - 750(indirect: Held by son)
Restricted Stock Units
Exercise: $0.00From: 2017-03-16Exp: 2017-03-16→ Common Stock (750 underlying) - 108,695
Common Stock
- 600,000(indirect: By LLC)
Common Stock
Footnotes (6)
- [F1]William Cohen is the Manager and controlling Member of Costar Partners II, LLC.
- [F2]These securities are held by the reporting person's son. The reporting person disclaims beneficial ownership of the securities.
- [F3]Date applies to 1/12th of the total as options vest monthly over a twelve month period.
- [F4]Date applies to one-fourth of the total. The remaining three-fourths vest in equal monthly installments thereafter over a 3 year period.
- [F5]The Restricted Stock Units vest 100% on 3/16/2017, subject to continued employment.
- [F6]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.