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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units (3) | $ 0 | 06/15/2016 | A | 11,484 | 06/15/2017(4) | 06/15/2017(4) | Common Stock | 11,484 | $ 0 | 11,484 | D | ||||
Stock Option | $ 5.5 | 08/15/2014(5) | 07/15/2024 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Option | $ 10.36 | 08/23/2015(5) | 07/23/2025 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Option | $ 5.95 | 08/18/2015 | 08/12/2016(6) | Common Stock | 312 (6) | 312 (6) | I (1) | Held by son |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cohen William 53 EAST 34TH STREET PATTERSON, NJ 07514 |
X |
/s/ Marcia J. Miller, as Attorney-in-Fact | 06/17/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These securities are held by the reporting person's son. The reporting person disclaims beneficial ownership of the securities. |
(2) | William Cohen is the Manager and controlling Member of Costar Partners II, LLC. |
(3) | Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. |
(4) | The Restricted Stock Units vest 100% on 06/15/2017. |
(5) | Date applies to 1/12th of the total as options vest monthly over a twelve month period. |
(6) | Unvested stock options were forfeited concurrent with the Reporting Person's son's separation from the Company. The stock options that vested will remain exercisable until August 12, 2016. |