0000924168-18-000003.txt : 20180103 0000924168-18-000003.hdr.sgml : 20180103 20180103172405 ACCESSION NUMBER: 0000924168-18-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171229 FILED AS OF DATE: 20180103 DATE AS OF CHANGE: 20180103 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: 18506840 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 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 4 1 wf-form4_151501823148906.xml FORM 4 X0306 4 2017-12-29 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 2017-12-29 4 A 0 3001 2.0825 A 9020 D Restricted Stock Units 2018-04-03 2020-04-04 Common Stock 19307.0 19307 D Restricted Stock Units 2018-03-13 2020-03-14 Common Stock 8561.0 8561 D Restricted Stock Units 2018-03-16 2019-03-16 Common Stock 2347.0 2347 D Restricted Stock Units 2017-08-16 2019-08-16 Common Stock 3334.0 3334 D Stock Option 3.17 2018-04-03 2027-04-03 Common Stock 28961.0 28961 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. 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. Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. /s/ Michael H. Port 2018-01-03