Gina Huang - May 26, 2021 Form 4 Insider Report for ENERGY FOCUS, INC/DE (EFOI)

Role
Director, 10%+ Owner
Signature
/s/ Gina Huang (Mei-Yun Huang)
Stock symbol
EFOI
Transactions as of
May 26, 2021
Transactions value $
$0
Form type
4
Date filed
5/27/2021, 06:50 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 +10K +2.73% $0.00 377K May 26, 2021 See footnote F1, F2

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 -10K -100% $0.00* 0 May 26, 2021 Common Stock 10K Direct F1, F3, F4
* 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 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 14,000 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.
F3 On March 24, 2021, Ms. Huang was granted 10,000 restricted stock units that vested May 26, 2021, 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.
F4 The restricted stock units were held directly by Ms. Huang.