Tu James 4
4 · ENERGY FOCUS, INC/DE · Filed May 1, 2013
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.