EFOI

SEC source: 0001628280-25-059166 · wk-form4_1767190878.xml · nonDerivative · entry 1

Huang Chiao Chieh · CIK 0001964786 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,421,219

SEC source: 0001628280-25-040712 · wk-form4_1755597890.xml · nonDerivative · entry 1

Huang Chiao Chieh · CIK 0001964786 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,159,210

SEC source: 0001628280-25-032522 · wk-form4_1750676814.xml · nonDerivative · entry 2

Huang Chiao Chieh · CIK 0001964786 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 894,660

SEC source: 0001628280-25-032522 · wk-form4_1750676814.xml · nonDerivative · entry 1

Huang Chiao Chieh · CIK 0001964786 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 784,163

SEC source: 0001964786-23-000002 · wk-form4_1691519671.xml · nonDerivative · entry 1

Huang Chiao Chieh · CIK 0001964786 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 680,536

F1 · kind: Rule 16b-3 exempt acquisition from the Issuer.

SEC source: 0000924168-23-000053 · wf-form4_168306254172448.xml · derivative · entry 1

Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-04-28

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0000924168-23-000052 · wf-form4_168306252544135.xml · derivative · entry 1

Matt Lesley A. · CIK 0001946762 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-04-28

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0001976444-23-000004 · wk-form4_1691519592.xml · derivative · entry 1

Gianas Randy Harrison · CIK 0001976444 · VP Operations & Engineering

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,428

Underlying: Common Stock · 1,428 shares

Expires 2033-04-28

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0000924168-23-000041 · wf-form4_168064083236256.xml · nonDerivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,720,242

F1 · kind: Rule 16b-3 exempt acquisition from the Issuer.

F2 · ownership.nature: 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 3,357,410 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.

SEC source: 0000924168-23-000042 · wf-form4_168064085943478.xml · nonDerivative · entry 1

Huang Chiao Chieh · CIK 0001964786 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,659,017

F1 · kind: Rule 16b-3 exempt acquisition from the Issuer.

F2 · ownership.nature: Consists of 299,520 shares of common stock held by Sander Electronics and 2,359,497 shares held by Mr. Huang directly. Sander Electronics is a controlled affiliate of Mr. Huang.

SEC source: 0000924168-23-000026 · wf-form4_167760573759767.xml · nonDerivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,220,242

F1 · kind: Rule 16b-3 exempt acquisition from the Issuer.

F2 · ownership.nature: 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 2,857,410 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.

SEC source: 0000924168-23-000023 · wf-form4_167760566505474.xml · nonDerivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,417,030

F1 · kind: Rule 16b-3 exempt acquisition from the Issuer.

F2 · ownership.nature: 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 2,054,198 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.

SEC source: 0000924168-23-000008 · wf-form4_167354439550174.xml · nonDerivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 965,433

F1 · kind: Rule 16b-3 exempt acquisition from the Issuer.

F2 · ownership.nature: 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 602,601 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.

SEC source: 0000924168-23-000004 · wf-form4_167330503683101.xml · nonDerivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 639,630

F1 · kind: Rule 16b-3 exempt acquisition from the Issuer.

F2 · ownership.nature: 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 276,798 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.

SEC source: 0001556919-22-000006 · wf-form4_166445490225926.xml · derivative · entry 2

Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,600

Underlying: Common Stock · 800 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001556919-22-000006 · wf-form4_166445490225926.xml · nonDerivative · entry 1

Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001946762-22-000004 · wf-form4_166368902100200.xml · derivative · entry 1

Matt Lesley A. · CIK 0001946762 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-09-12

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0001307022-22-000007 · wf-form4_166439654232288.xml · derivative · entry 1

den Daas Kaj · CIK 0001307022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001941686-22-000004 · wf-form4_166128216573083.xml · derivative · entry 1

Griffin Clifford R. · CIK 0001941686 · SVP, Corp. Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The award vests in four equal annual installments beginning on August 1, 2023.

SEC source: 0001350862-22-000003 · wf-form4_165599698083192.xml · derivative · entry 2

Socolof Stephen · CIK 0001350862 · Director · Chairman and Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 11, 2022, the reporting person was granted 5,000 restricted stock units that vested on 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.

F2 · derivative.expiration_date: On February 11, 2022, the reporting person was granted 5,000 restricted stock units that vested on 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.

SEC source: 0001350862-22-000003 · wf-form4_165599698083192.xml · nonDerivative · entry 1

Socolof Stephen · CIK 0001350862 · Director · Chairman and Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001669593-22-000003 · wf-form4_165599687085458.xml · derivative · entry 2

Politziner Philip · CIK 0001669593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 11, 2022, the reporting person was granted 5,000 restricted stock units that vested on 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.

F2 · derivative.expiration_date: On February 11, 2022, the reporting person was granted 5,000 restricted stock units that vested on 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.

SEC source: 0001669593-22-000003 · wf-form4_165599687085458.xml · nonDerivative · entry 1

Politziner Philip · CIK 0001669593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,400

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001913820-22-000006 · wf-form4_165599672348410.xml · derivative · entry 2

Lagarto Brian J · CIK 0001913820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 19, 2022, the reporting person was granted 10,000 restricted stock units that vested on 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.

F2 · derivative.expiration_date: On February 19, 2022, the reporting person was granted 10,000 restricted stock units that vested on 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.

SEC source: 0001913820-22-000006 · wf-form4_165599672348410.xml · nonDerivative · entry 1

Lagarto Brian J · CIK 0001913820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001479183-22-000007 · wf-form4_165599660057011.xml · derivative · entry 2

Parker Jeffery Robert · CIK 0001479183 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 22, 2022, the reporting person was granted 10,000 restricted stock units that vested on 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.

F2 · derivative.expiration_date: On February 22, 2022, the reporting person was granted 10,000 restricted stock units that vested on 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.

SEC source: 0001479183-22-000007 · wf-form4_165599660057011.xml · nonDerivative · entry 1

Parker Jeffery Robert · CIK 0001479183 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001600805-22-000004 · wf-form4_165599648031704.xml · derivative · entry 2

Huang Gina · CIK 0001600805 · Director · 10% owner

Jag International Co Ltd. · CIK 0001544485 · 10% owner

Brilliant Start Enterprise, Inc. · CIK 0001600870 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

F4 · ownership.direct: The restricted stock units were held directly by Ms. Huang.

SEC source: 0001600805-22-000004 · wf-form4_165599648031704.xml · nonDerivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

Jag International Co Ltd. · CIK 0001544485 · 10% owner

Brilliant Start Enterprise, Inc. · CIK 0001600870 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 381,832

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · ownership.nature: 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.

SEC source: 0001555300-22-000003 · wf-form4_165599634237344.xml · derivative · entry 2

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 11, 2022, the reporting person was granted 5,000 restricted stock units that vested on 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.

F2 · derivative.expiration_date: On February 11, 2022, the reporting person was granted 5,000 restricted stock units that vested on 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.

SEC source: 0001555300-22-000003 · wf-form4_165599634237344.xml · nonDerivative · entry 1

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001479183-22-000005 · wf-form4_164746405821114.xml · derivative · entry 1

Parker Jeffery Robert · CIK 0001479183 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001913820-22-000004 · wf-form4_164616251579066.xml · derivative · entry 1

Lagarto Brian J · CIK 0001913820 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001669593-22-000002 · wf-form4_164495298051842.xml · derivative · entry 1

Politziner Philip · CIK 0001669593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001350862-22-000002 · wf-form4_164495282889823.xml · derivative · entry 1

Socolof Stephen · CIK 0001350862 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001600805-22-000002 · wf-form4_164495289845940.xml · derivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001399090-22-000002 · wf-form4_164495266310326.xml · derivative · entry 1

NESTOR TOD A · CIK 0001399090 · COO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-11

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0001556919-22-000002 · wf-form4_164495274796022.xml · derivative · entry 1

Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-02-11

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0001555300-22-000002 · wf-form4_164495257778791.xml · derivative · entry 1

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001600805-22-000003 · wf-form4a_164511275230894.xml · derivative · entry 1

Huang Gina · CIK 0001600805 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on 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.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on 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.

SEC source: 0001556919-22-000004 · wf-form4a_164511245556599.xml · derivative · entry 1

Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-02-11

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0001912759-22-000005 · wf-form4_164564422447064.xml · derivative · entry 1

Galluccio Gregory S · CIK 0001912759 · Sr. VP, Product Mgmt & Engin.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-02-11

F1 · derivative.exercise_date: Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0001556919-21-000004 · wf-form4_163292181340728.xml · derivative · entry 2

Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,400

Underlying: Common Stock · 800 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001556919-21-000004 · wf-form4_163292181340728.xml · nonDerivative · entry 1

Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001669593-21-000006 · wf-form4_163007210140525.xml · nonDerivative · entry 1

Politziner Philip · CIK 0001669593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,400

SEC source: 0001350862-21-000006 · wf-form4_162947229476806.xml · nonDerivative · entry 1

Socolof Stephen · CIK 0001350862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,500

SEC source: 0001564957-21-000006 · wf-form4_162931790807585.xml · nonDerivative · entry 1

Tu James · CIK 0001564957 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,851

F1 · balance_after: Mr. Tu directly owns 5,000 shares and has shared voting and dispositive power over 60,000 shares of common stock held by 5 Elements Global Fund L.P. ("Global Fund") and 184,851 shares of common stock held by Fusion Park LLC ("Fusion Park"). Global Fund and Fusion Park are controlled affiliates of Mr. Tu.

SEC source: 0001555300-21-000004 · wf-form4_162211279058245.xml · derivative · entry 2

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 19, 2021, the reporting person was granted 10,000 restricted stock units that vested on 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.

F2 · derivative.expiration_date: On February 19, 2021, the reporting person was granted 10,000 restricted stock units that vested on 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.

SEC source: 0001555300-21-000004 · wf-form4_162211279058245.xml · nonDerivative · entry 1

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0001350862-21-000004 · wf-form4_162211269481984.xml · derivative · entry 2

Socolof Stephen · CIK 0001350862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 19, 2021, the reporting person was granted 10,000 restricted stock units that vested on 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.

F2 · derivative.expiration_date: On February 19, 2021, the reporting person was granted 10,000 restricted stock units that vested on 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.