ENERGY FOCUS, INC/DE 4

4 · ENERGY FOCUS, INC/DE · Filed Dec 20, 2013

Form 4

Period: 2013-12-18

Director

Transactions

Award
Subordinated Convertible Debt
2013-09-16+1,282,609→ 6,500,001 total(indirect: Held by Prime Science & Technology Inc.)
Exercise: $0.23From: 2014-01-31Exp: 2016-12-31→ Common Stock (1,282,609 underlying)
Award
Common Stock Option
2013-12-18+50,000→ 9,158,697 total
Exercise: $0.48From: 2014-01-18Exp: 2023-12-18→ Common Stock (50,000 underlying)
Award
Subordinated Convertible Debt
2013-05-30+869,565→ 4,782,609 total(indirect: Held by Prime Science & Technology Inc.)
Exercise: $0.23From: 2013-09-30Exp: 2016-12-31→ Common Stock (869,565 underlying)
Award
Subordinated Convertible Debt
2013-08-02+434,783→ 5,217,392 total(indirect: Held by Prime Science & Technology Inc.)
Exercise: $0.23From: 2013-12-31Exp: 2016-12-31→ Common Stock (434,783 underlying)
Award
Subordinated Convertible Debt
2013-10-10+2,608,696→ 9,108,697 total(indirect: Held by Prime Science & Technology Inc.)
Exercise: $0.23From: 2014-02-28Exp: 2016-12-31→ Common Stock (2,608,696 underlying)

Footnotes (4)

[F1]Date applies to 1/12th of the total as option vest monthly over a twelve month period.
[F2]Subordinated convertible debt matures on December 31, 2016, and is convertible into shares of Common Stock at $0.23 per share.
[F3]Represents date when debt first becomes convertible into shares of Common Stock.
[F4]Mr. Luo is Managing Partner of Prime Science & Technology, Inc.

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