person · Reporting owner

Socolof Stephen

Disclosed activity across 2 companies

Tapewire entity: 125932
SEC CIK: 0001350862

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ENERGY FOCUS, INC/DEEFOI · Entity 7723	Director · Chairman and Interim CEO	June 22, 2022	June 23, 2022

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 June 22, 2022 · Filed June 23, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	25,500	Reported balance After 2022-06-22 transaction · row 1 1 source row Row 1 · 2022-06-22 · Exercise / conversion · Acquired 5,000 · Balance 25,500 F1: Restricted stock units convert into Common Stock on a one-for-one basis.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2022-06-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-06-22 · Exercise / conversion · Disposed 5,000 · Balance 0 F1: Restricted stock units convert into Common Stock on a one-for-one basis. F2: 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.

Filing footnotes · ownership attribution and instrument terms

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

F2: 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.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

EVERSPIN TECHNOLOGIES INC.

Report date November 12, 2021 · Filed November 29, 2021 · Amendment

Jointly reported with NVPG IV, LLC, NV PARTNERS IV L P, NV PARTNERS IV C L P, GARMAN ANDREW, UHLMAN THOMAS M

Section 16 reporting ended · disclosed 2021-11-29. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,010,991	Reported balance After 2021-11-12 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2021-11-12 · Sale · Disposed 250,000 · Balance 2,010,991 F1: The shares were sold as follows: 217,391 by NV Partners IV L.P. ("NV IV") and 32,609 by NV Partners IVC L.P. ("NVI VC"). NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Messrs. Socolof, Garman and Ulhman are individual managing members of NVPG. Each Reporting Person disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his or its proportionate pecuniary interest therein. F2: Represents weighted average sales price. The shares were sold at prices ranging from $10.15 to $10.814. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F3: The shares are held as follows: 1,748,690 by NV IV and 262,301 by NV IVC.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	1,820,226	Reported balance After 2021-11-19 transaction · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · 2021-11-19 · Sale · Disposed 190,765 · Balance 1,820,226 F4: The shares were sold as follows: 165,882 by NV IV and 24,883 by NVI VC. F5: Represents weighted average sales price. The shares were sold at prices ranging from $12.20 to $12.54. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F6: The shares are held as follows: 1,582,808 by NV IV and 237,418 by NVIVC.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	1,750,016	Reported balance After 2021-11-23 transaction · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · 2021-11-23 · Sale · Disposed 70,210 · Balance 1,750,016 F7: The shares were sold as follows: 61,052 by NV IV and 9,158 by NVIVC. F8: Represents weighted average sales price. The shares were sold at prices ranging from $12.40 to $12.49. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F9: The shares are held as follows: 1,521,756 by NV IV and 228,260 by NVIVC.
Common StockSEC Table I · non-derivative	Direct	29,131	Reported balance Holding disclosure · report date 2021-11-12 · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · Balance 29,131

Filing footnotes · ownership attribution and instrument terms

F1: The shares were sold as follows: 217,391 by NV Partners IV L.P. ("NV IV") and 32,609 by NV Partners IVC L.P. ("NVI VC"). NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Messrs. Socolof, Garman and Ulhman are individual managing members of NVPG. Each Reporting Person disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his or its proportionate pecuniary interest therein.

F2: Represents weighted average sales price. The shares were sold at prices ranging from $10.15 to $10.814. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F3: The shares are held as follows: 1,748,690 by NV IV and 262,301 by NV IVC.

F4: The shares were sold as follows: 165,882 by NV IV and 24,883 by NVI VC.

F5: Represents weighted average sales price. The shares were sold at prices ranging from $12.20 to $12.54. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F6: The shares are held as follows: 1,582,808 by NV IV and 237,418 by NVIVC.

F7: The shares were sold as follows: 61,052 by NV IV and 9,158 by NVIVC.

F8: Represents weighted average sales price. The shares were sold at prices ranging from $12.40 to $12.49. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F9: The shares are held as follows: 1,521,756 by NV IV and 228,260 by NVIVC.

Transaction history

JSON API

Purchases/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
June 22, 2022 Filed Jun 23, 2022 15:09 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionRestricted Stock Units · Derivative	5,000	$0.00	$0.00	Disclosure 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. Read SEC document
June 22, 2022 Filed Jun 23, 2022 15:09 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionCommon Stock	5,000	$0.00	$0.00	Disclosure 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. Read SEC document
February 11, 2022 Filed Feb 15, 2022 19:20 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	GrantRestricted Stock Units · Derivative	5,000	$0.00	$0.00	Disclosure 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. Read SEC document
November 23, 2021 Filed Nov 24, 2021 21:33 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	SaleCommon Stock	70,210	$12.41	$871,306.10	Disclosure SEC source: 0001209191-21-066804 · doc4.xml · nonDerivative · entry 3 Socolof Stephen · CIK 0001350862 · Former 10% Holder 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,750,016 F7 · shares: The shares were sold as follows: 61,052 by NV IV and 9,158 by NVIVC. F8 · price: Represents weighted average sales price. The shares were sold at prices ranging from $12.40 to $12.49. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F9 · ownership.nature: The shares are held as follows: 1,521,756 by NV IV and 228,260 by NVIVC. Read SEC document
November 23, 2021 Filed Nov 29, 2021 16:44 UTC Amendment	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	SaleCommon Stock	70,210	$12.41	$871,306.10	Disclosure SEC source: 0001209191-21-067000 · doc4a.xml · nonDerivative · entry 3 Socolof Stephen · CIK 0001350862 · Former 10% Holder NVPG IV, LLC · CIK 0001686431 · Former 10% Holder NV PARTNERS IV L P · CIK 0001350135 · Former 10% Holder NV PARTNERS IV C L P · CIK 0001350134 · Former 10% Holder GARMAN ANDREW · CIK 0001260347 · Former 10% Holder UHLMAN THOMAS M · CIK 0001245101 · Former 10% Holder Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,750,016 F7 · shares: The shares were sold as follows: 61,052 by NV IV and 9,158 by NVIVC. F8 · price: Represents weighted average sales price. The shares were sold at prices ranging from $12.40 to $12.49. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F9 · ownership.nature: The shares are held as follows: 1,521,756 by NV IV and 228,260 by NVIVC. Read SEC document
November 19, 2021 Filed Nov 24, 2021 21:33 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	SaleCommon Stock	190,765	$12.39	$2,363,578.35	Disclosure SEC source: 0001209191-21-066804 · doc4.xml · nonDerivative · entry 2 Socolof Stephen · CIK 0001350862 · Former 10% Holder 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,820,226 F4 · shares: The shares were sold as follows: 165,882 by NV IV and 24,883 by NVI VC. F5 · price: Represents weighted average sales price. The shares were sold at prices ranging from $12.20 to $12.54. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F6 · ownership.nature: The shares are held as follows: 1,582,808 by NV IV and 237,418 by NVIVC. Read SEC document
November 19, 2021 Filed Nov 29, 2021 16:44 UTC Amendment	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	SaleCommon Stock	190,765	$12.39	$2,363,578.35	Disclosure SEC source: 0001209191-21-067000 · doc4a.xml · nonDerivative · entry 2 Socolof Stephen · CIK 0001350862 · Former 10% Holder NVPG IV, LLC · CIK 0001686431 · Former 10% Holder NV PARTNERS IV L P · CIK 0001350135 · Former 10% Holder NV PARTNERS IV C L P · CIK 0001350134 · Former 10% Holder GARMAN ANDREW · CIK 0001260347 · Former 10% Holder UHLMAN THOMAS M · CIK 0001245101 · Former 10% Holder Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,820,226 F4 · shares: The shares were sold as follows: 165,882 by NV IV and 24,883 by NVI VC. F5 · price: Represents weighted average sales price. The shares were sold at prices ranging from $12.20 to $12.54. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F6 · ownership.nature: The shares are held as follows: 1,582,808 by NV IV and 237,418 by NVIVC. Read SEC document
November 12, 2021 Filed Nov 24, 2021 21:33 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	SaleCommon Stock	250,000	$10.41	$2,602,500.00	Disclosure SEC source: 0001209191-21-066804 · doc4.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Former 10% Holder 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,010,991 F1 · shares: The shares were sold as follows: 217,391 by NV Partners IV L.P. ("NV IV") and 32,609 by NV Partners IVC L.P. ("NVI VC"). NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Mr. Socolof is an individual managing member of NVPG. Mr. Socolof disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein. F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $10.15 to $10.814. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F3 · ownership.nature: The shares are held as follows: 1,748,690 by NV IV and 262,301 by NV IVC. Read SEC document
November 12, 2021 Filed Nov 29, 2021 16:44 UTC Amendment	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	SaleCommon Stock	250,000	$10.41	$2,602,500.00	Disclosure SEC source: 0001209191-21-067000 · doc4a.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Former 10% Holder NVPG IV, LLC · CIK 0001686431 · Former 10% Holder NV PARTNERS IV L P · CIK 0001350135 · Former 10% Holder NV PARTNERS IV C L P · CIK 0001350134 · Former 10% Holder GARMAN ANDREW · CIK 0001260347 · Former 10% Holder UHLMAN THOMAS M · CIK 0001245101 · Former 10% Holder Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,010,991 F1 · shares: The shares were sold as follows: 217,391 by NV Partners IV L.P. ("NV IV") and 32,609 by NV Partners IVC L.P. ("NVI VC"). NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Messrs. Socolof, Garman and Ulhman are individual managing members of NVPG. Each Reporting Person disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his or its proportionate pecuniary interest therein. F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $10.15 to $10.814. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F3 · ownership.nature: The shares are held as follows: 1,748,690 by NV IV and 262,301 by NV IVC. Read SEC document
August 18, 2021 Filed Aug 20, 2021 15:11 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	PurchaseCommon Stock	3,500	$2.80	$9,800.00	Disclosure 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 Read SEC document
May 26, 2021 Filed May 27, 2021 10:51 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionRestricted Stock Units · Derivative	10,000	$0.00	$0.00	Disclosure 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. Read SEC document
May 26, 2021 Filed May 27, 2021 10:51 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionCommon Stock	10,000	$0.00	$0.00	Disclosure SEC source: 0001350862-21-000004 · wf-form4_162211269481984.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · 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. Read SEC document
February 19, 2021 Filed Feb 23, 2021 21:32 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	GrantRestricted Stock Units · Derivative	10,000	$0.00	$0.00	Disclosure SEC source: 0001350862-21-000002 · wf-form4_161411592784199.xml · derivative · entry 1 Socolof Stephen · CIK 0001350862 · 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. Read SEC document
September 17, 2020 Filed Sep 17, 2020 19:29 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionRestricted Stock Units · Derivative	3,000	$0.00	$0.00	Disclosure SEC source: 0001350862-20-000009 · wf-form4_160037096677883.xml · derivative · entry 2 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000 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 March 18, 2020, the reporting person was granted 3,000 restricted stock units that vested on September 17, 2020, the date of the Company's annual meeting of stockholders. F2 · derivative.expiration_date: On March 18, 2020, the reporting person was granted 3,000 restricted stock units that vested on September 17, 2020, the date of the Company's annual meeting of stockholders. Read SEC document
September 17, 2020 Filed Sep 17, 2020 19:29 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionCommon Stock	3,000	$0.00	$0.00	Disclosure SEC source: 0001350862-20-000009 · wf-form4_160037096677883.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 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. Read SEC document
May 19, 2020 Filed May 20, 2020 22:08 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	GrantCommon Stock	20,131	$0.00	$0.00	Disclosure SEC source: 0001209191-20-031003 · doc4.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,131 Read SEC document
March 18, 2020 Filed Mar 21, 2020 01:12 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	GrantRestricted Stock Units · Derivative	15,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000924168-20-000010 · wf-form4_158475310747188.xml · derivative · entry 1 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 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. F3 · price: Restricted stock units convert into Common Stock on a one-for-one basis. 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. Read SEC document
December 17, 2019 Filed Dec 18, 2019 13:36 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionRestricted Stock Units · Derivative	5,032	$0.00	$0.00	Disclosure SEC source: 0000924168-19-000129 · wf-form4_157667619292914.xml · derivative · entry 3 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,032 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. F2 · derivative.exercise_price: Restricted stock units convert into Common Stock on a one-for-one basis. F3 · derivative.exercise_date: On May 20, 2019, the reporting person was granted 5,032 restricted stock units that vested on December 17, 2019, the date of the Company's annual meeting of stockholders. F3 · derivative.expiration_date: On May 20, 2019, the reporting person was granted 5,032 restricted stock units that vested on December 17, 2019, the date of the Company's annual meeting of stockholders. Read SEC document
December 17, 2019 Filed Dec 18, 2019 13:36 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionCommon Stock	5,032	$0.00	$0.00	Disclosure SEC source: 0000924168-19-000129 · wf-form4_157667619292914.xml · nonDerivative · entry 2 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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. F2 · price: Restricted stock units convert into Common Stock on a one-for-one basis. Read SEC document
November 12, 2019 Filed Dec 18, 2019 13:36 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	GrantCommon Stock	14,968	$0.00	$0.00	Disclosure SEC source: 0000924168-19-000129 · wf-form4_157667619292914.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,968 F1 · security: Represents restricted stock units that 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 (December 17, 2019). Read SEC document
June 19, 2019 Filed Jun 21, 2019 21:18 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionRestricted Stock Units · Derivative	5,032	$0.00	$0.00	Disclosure SEC source: 0000924168-19-000056 · wf-form4_156115190748151.xml · derivative · entry 2 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,032 shares Expires 2019-06-20 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. F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis. Read SEC document
June 19, 2019 Filed Jun 21, 2019 21:18 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	Exercise / conversionCommon Stock	5,032	$0.00	$0.00	Disclosure SEC source: 0000924168-19-000056 · wf-form4_156115190748151.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,032 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
May 21, 2019 Filed May 22, 2019 20:55 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	GrantNonqualified Stock Option (Right to Buy) · Derivative	12,000	$0.00 Strike: $7.20	$0.00	Disclosure SEC source: 0001209191-19-032100 · doc4.xml · derivative · entry 3 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2029-05-20 F2 · derivative.exercise_date: 1/12th of the shares subject to the option vest in successive equal monthly installments measured from May 21, 2019. Read SEC document
May 21, 2019 Filed May 22, 2019 20:55 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	GrantCommon Stock	6,000	$0.00	$0.00	Disclosure SEC source: 0001209191-19-032100 · doc4.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Read SEC document
May 20, 2019 Filed Jun 7, 2019 21:19 UTC	ENERGY FOCUS, INC/DE EFOI · Entity 7723	GrantRestricted Stock Units · Derivative	5,032	Not disclosed	Not disclosed	Disclosure SEC source: 0000924168-19-000048 · wf-form4_155994236882936.xml · derivative · entry 1 Socolof Stephen · CIK 0001350862 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,032 Underlying: Common Stock · 5,032 shares Expires 2019-06-20 F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F3 · price: Restricted stock units convert into Common Stock on a one-for-one basis. 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. Read SEC document
May 21, 2018 Filed May 22, 2018 22:02 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	GrantNonqualified Stock Option (Right to Buy) · Derivative	12,000	$0.00 Strike: $8.16	$0.00	Disclosure SEC source: 0001209191-18-032405 · doc4.xml · derivative · entry 3 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2028-05-20 F2 · derivative.exercise_date: 1/12th of the shares subject to the option vest in successive equal monthly installments measured from May 21, 2018. Read SEC document
May 21, 2018 Filed May 22, 2018 22:02 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	GrantCommon Stock	3,000	$0.00	$0.00	Disclosure SEC source: 0001209191-18-032405 · doc4.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	Conversion5% Convertible Subordinated Promissory Note · Derivative	Not disclosed	$0.00 Strike: $6.40	$1,305,429.91	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · derivative · entry 9 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 205,984 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. F11 · reported_value: The notes were issued in the original principal amount of $1,135,156.42 to NV IV and $170,273.49 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $11,196.06 for NV IV and $1,679.41 for NV IVC through October 12, 2016. F11 · derivative.exercise_date: The notes were issued in the original principal amount of $1,135,156.42 to NV IV and $170,273.49 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $11,196.06 for NV IV and $1,679.41 for NV IVC through October 12, 2016. F11 · derivative.expiration_date: The notes were issued in the original principal amount of $1,135,156.42 to NV IV and $170,273.49 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $11,196.06 for NV IV and $1,679.41 for NV IVC through October 12, 2016. F11 · ownership.nature: The notes were issued in the original principal amount of $1,135,156.42 to NV IV and $170,273.49 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $11,196.06 for NV IV and $1,679.41 for NV IVC through October 12, 2016. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	Conversion5% Convertible Subordinated Promissory Note · Derivative	Not disclosed	$0.00 Strike: $6.40	$1,864,899.00	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · derivative · entry 8 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 301,648 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. F10 · reported_value: The notes were issued in the original principal amount of $1,621,651.27 to NV IV and $243,247.73 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $57,091.01 for NV IV and $8,563.65 for NV IVC through October 12, 2016. F10 · derivative.exercise_date: The notes were issued in the original principal amount of $1,621,651.27 to NV IV and $243,247.73 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $57,091.01 for NV IV and $8,563.65 for NV IVC through October 12, 2016. F10 · derivative.expiration_date: The notes were issued in the original principal amount of $1,621,651.27 to NV IV and $243,247.73 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $57,091.01 for NV IV and $8,563.65 for NV IVC through October 12, 2016. F10 · ownership.nature: The notes were issued in the original principal amount of $1,621,651.27 to NV IV and $243,247.73 to NV IVC. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $57,091.01 for NV IV and $8,563.65 for NV IVC through October 12, 2016. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	ConversionSeries B Preferred Stock · Derivative	271,619	$0.00	$0.00	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · derivative · entry 7 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 271,619 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: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F9 · ownership.nature: The shares were held as follows: 236,191 by NV IV and 35,428 by NV IVC. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	ConversionSeries A Preferred Stock · Derivative	503,625	$0.00	$0.00	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · derivative · entry 6 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 503,625 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: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F8 · ownership.nature: The shares were held as follows: 437,935 by NV IV and 65,690 by NV IVC. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	PurchaseCommon Stock	250,000	$8.00	$2,000,000.00	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · nonDerivative · entry 5 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,260,991 F3 · ownership.nature: NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Mr. Socolof is an individual managing member of NVPG. Mr. Socolof disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein. F7 · ownership.nature: The shares are held as follows: 1,966,081 by NV IV and 294,910 by NVIVC. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	ConversionCommon Stock	205,984	$6.40	$1,318,297.60	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · nonDerivative · entry 4 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,010,991 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. F3 · ownership.nature: NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Mr. Socolof is an individual managing member of NVPG. Mr. Socolof disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein. F6 · ownership.nature: The shares are held as follows: 1,748,690 by NV IV and 262,301 by NVIVC. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	ConversionCommon Stock	301,648	$6.40	$1,930,547.20	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · nonDerivative · entry 3 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,805,007 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. F3 · ownership.nature: NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Mr. Socolof is an individual managing member of NVPG. Mr. Socolof disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein. F5 · ownership.nature: The shares are held as follows: 1,569,573 by NV IV and 235,434 by NVIVC. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	ConversionCommon Stock	271,619	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · nonDerivative · entry 2 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,503,359 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: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Mr. Socolof is an individual managing member of NVPG. Mr. Socolof disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein. F4 · ownership.nature: The shares are held as follows: 1,307,270 by NV IV and 196,089 by NVIVC. Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:47 UTC	EVERSPIN TECHNOLOGIES INC. MRAM · Entity 5701	ConversionCommon Stock	503,625	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-16-146060 · doc4.xml · nonDerivative · entry 1 Socolof Stephen · CIK 0001350862 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,231,740 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: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The shares are held as follows: 1,071,079 by NV Partners IV, L.P. ("NV IV") and 160,661 by NV Partners IVC,L.P. ("NVI VC"). F3 · ownership.nature: NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Mr. Socolof is an individual managing member of NVPG. Mr. Socolof disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein. 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.