person · Reporting owner
Warren James Raymond III
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ENERGY FOCUS, INC/DEEFOI · Entity 7723 | SVP, GC & Corp. Secretary | April 28, 2023 | May 02, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ENERGY FOCUS, INC/DE
Report date April 28, 2023 · Filed May 02, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.43 · Expires 2033-04-28 | Direct | 30,000 |
Reported balance
After 2023-04-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-04-28 · Grant · Acquired 30,000 · Balance 30,000 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 28, 2023 Filed May 2, 2023 21:22 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option (Right to buy) · Derivative | 30,000 | $0.43 Strike: $0.43 | $13,020.00 |
DisclosureSEC 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. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 12:35 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionRestricted Stock Units · Derivative | 800 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 28, 2022 Filed Sep 29, 2022 12:35 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionCommon Stock | 800 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 11, 2022 Filed Feb 15, 2022 19:19 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option (Right to buy) · Derivative | 15,000 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 11, 2022 Filed Feb 17, 2022 15:41 UTC Amendment | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option (Right to buy) · Derivative | 15,000 | $1.48 Strike: $1.48 | $22,200.00 |
DisclosureSEC 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. Read SEC document |
| September 28, 2021 Filed Sep 29, 2021 13:23 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionRestricted Stock Units · Derivative | 800 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 28, 2021 Filed Sep 29, 2021 13:23 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionCommon Stock | 800 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 21:35 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option (Right to buy) · Derivative | 12,000 | $0.00 Strike: $5.59 | $0.00 |
DisclosureSEC source: 0001556919-21-000002 · wf-form4_161411613398423.xml · derivative · entry 1 Warren James Raymond III · CIK 0001556919 · SVP, GC & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2031-02-19 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.