Form 4 for EFOI ENERGY FOCUS, INC/DE
Accepted 2022-06-23 00:00:00 ET · period of report 2022-06-22 · accession 0001600805-22-000004 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-06-23 | 2022-06-22 | EFOI | Jag International Co Ltd. | 10% | M - OptEx | $0.00 | +5,000 | 381.8K | +1% | $0 |
| D | 2022-06-23 | 2022-06-22 | EFOI | Jag International Co Ltd. | 10% | M - OptEx | $0.00 | -5,000 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-06-22 | M | A | 5,000 | $0.00 | 381,832 | I See footnote | — | — | (F1) Restricted stock units convert into Common Stock on a one-for-one basis. (F2) Consists of 242,832 shares of common stock held by Brilliant Start Enterprise, Inc. ("Brilliant Start"), 120,000 shares of common stock held by Jag International Ltd. ("Jag") and 19,000 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang. |
| 2 | Derivative | Restricted Stock Units | 2022-06-22 | M | D | 5,000 | $0.00 | 0 | D | — · — to — | 5,000 Common Stock | (F4) The restricted stock units were held directly by Ms. Huang. (F1) Restricted stock units convert into Common Stock on a one-for-one basis. (F3) On February 11, 2022, Ms. Huang was granted 5,000 restricted stock units that vested June 22, 2022, the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date. |