James R. Warren III - Sep 28, 2021 Form 4 Insider Report for ENERGY FOCUS, INC/DE (EFOI)

Role: SVP, GC & Corp. Secretary
Signature: /s/ James R. Warren III
Stock symbol: EFOI
Transactions as of: Sep 28, 2021
Transactions value $: $0
Form type: 4
Date filed: 9/29/2021, 09:23 AM
Next filing: Feb 17, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	EFOI	Common Stock	Options Exercise	$0	+800		$0.00	800	Sep 28, 2021	Direct	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	EFOI	Restricted Stock Units	Options Exercise	$0	-800	-25%	$0.00	2.4K	Sep 28, 2021	Common Stock	800		Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Restricted stock units convert into Common Stock on a one-for-one basis.
F2	On September 28, 2020, the reporting person was granted 3,200 restricted stock units, which award vests in four equal annual installments beginning on September 28, 2021.