Statement of Changes in Beneficial Ownership (4)
September 17 2020 - 3:35PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Huang Gina |
2. Issuer Name and Ticker or Trading Symbol
ENERGY FOCUS, INC/DE
[
EFOI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
32000 AURORA ROAD, SUITE B |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/17/2020 |
(Street)
SOLON, OH 44139
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 9/17/2020 | | M | | 4000 | A | $0 (1) | 207478 | I | See footnote (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 9/17/2020 | | M | | 4000 | | (3) | (3) | Common Stock | 4000.0 | $0 | 0 | D (4) | |
Explanation of Responses: |
(1) | Restricted stock units convert into Common Stock on a one-for-one basis. |
(2) | Consists of 83,478 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 4,000 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang. |
(3) | On March 18, 2020, the reporting person Ms. Huang was granted 4,000 restricted stock units that vested September 17, 2020, the date of the Company's annual meeting of stockholders. |
(4) | The restricted stock units were held directly by Ms. Huang. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Huang Gina 32000 AURORA ROAD SUITE B SOLON, OH 44139 | X | X |
|
|
Jag International Co Ltd. 3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3 LANE 140 SONG SHAN DISTRICT TAIPEI CITY, F5 105 |
| X |
|
|
Brilliant Start Enterprise, Inc. 3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3 LANE 140 SONG SHAN DISTRICT TAIPEI CITY, F5 105 |
| X |
|
|
Signatures
|
/s/ Gina Huang (Mei-Yun Huang) | | 9/17/2020 |
**Signature of Reporting Person | Date |
Jag International Ltd. By: /s/ Gina Huang (Mei-Yun Huang), General Partner | | 9/17/2020 |
**Signature of Reporting Person | Date |
Brilliant Start Enterprise, Inc. By: /s/ Gina Huan (Mei-Yun Huang), General Partner | | 9/17/2020 |
**Signature of Reporting Person | Date |
Energy Focus (NASDAQ:EFOI)
Historical Stock Chart
From Apr 2024 to May 2024
Energy Focus (NASDAQ:EFOI)
Historical Stock Chart
From May 2023 to May 2024