0000924168-17-000056.txt : 20170705 0000924168-17-000056.hdr.sgml : 20170705 20170705161629 ACCESSION NUMBER: 0000924168-17-000056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170705 DATE AS OF CHANGE: 20170705 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENERGY FOCUS, INC/DE CENTRAL INDEX KEY: 0000924168 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 943021850 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 32000 AURORA ROAD STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 BUSINESS PHONE: 4407151300 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 FORMER COMPANY: FORMER CONFORMED NAME: FIBERSTARS INC /CA/ DATE OF NAME CHANGE: 19940527 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Port Michael Harry CENTRAL INDEX KEY: 0001682287 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 17948238 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 4 1 wf-form4_149928577566858.xml FORM 4 X0306 4 2017-06-30 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001682287 Port Michael Harry 32000 AURORA ROAD SUITE B SOLON OH 44139 0 1 0 0 CFO & Secretary Common Stock 2017-06-30 4 A 0 1416 2.2355 A 4353 D Stock Option 3.17 2018-04-03 2027-04-03 Common Stock 28961.0 28961 D Restricted Stock Units 2018-04-03 2020-04-04 Common Stock 19307.0 19307 D Restricted Stock Units 2018-03-16 2019-03-16 Common Stock 2347.0 2347 D Restricted Stock Units 2018-03-13 2020-03-14 Common Stock 8561.0 8561 D Restricted Stock Units 2017-08-16 2019-08-16 Common Stock 5000.0 5000 D Stock Option 15.08 2016-07-13 2025-09-17 Common Stock 5000.0 5000 D Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan. Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. 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. Date applies to 1,173 of the restricted stock units. The remaining 1,174 restricted stock units vest on March 16, 2019. /s/ Michael H. Port 2017-07-05