4//SEC Filing
ENERGY FOCUS, INC/DE 4
Accession 0001437749-13-016337
$EFOICIK 0000924168operating
Filed
Dec 19, 7:00 PM ET
Accepted
Dec 20, 5:11 PM ET
Size
14.5 KB
Accession
0001437749-13-016337
Insider Transaction Report
Form 4
Luo Jiangang
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 totalExercise: $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.
Documents
Issuer
ENERGY FOCUS, INC/DE
CIK 0000924168
Entity typeoperating
IncorporatedOH
Related Parties
1- filerCIK 0000924168
Filing Metadata
- Form type
- 4
- Filed
- Dec 19, 7:00 PM ET
- Accepted
- Dec 20, 5:11 PM ET
- Size
- 14.5 KB