Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ENERGY FOCUS, INC/DEEFOI · Entity 7723 | COO and CFO | February 11, 2022 | February 15, 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 February 11, 2022 · Filed February 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.48 · Expires 2032-02-11 | Direct | 20,000 |
Reported balance
After 2022-02-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-02-11 · Grant · Acquired 20,000 · Balance 20,000 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 |
|---|---|---|---|---|---|---|
| February 11, 2022 Filed Feb 15, 2022 19:18 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option (Right to buy) · Derivative | 20,000 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 21:38 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option (Right to buy) · Derivative | 13,000 | $0.00 Strike: $5.59 | $0.00 |
DisclosureSEC source: 0001399090-21-000002 · wf-form4_161411630383157.xml · derivative · entry 1 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 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 |
| December 28, 2020 Filed Dec 29, 2020 20:19 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionStock Option · Derivative | 10,625 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001399090-20-000004 · wf-form4_160927315833586.xml · derivative · entry 2 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,375 Underlying: Common Stock · 10,625 shares Expires 2029-07-16 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 · security: The stock option was originally reported as covering 150,000 shares at an exercise price of $0.42 per share, but is adjusted in this report to reflect the 5-for-1 reverse stock split that occurred on June 11, 2020. Read SEC document |
| December 28, 2020 Filed Dec 29, 2020 20:19 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | Exercise / conversionCommon Stock | 10,625 | $2.10 | $22,312.50 |
DisclosureSEC source: 0001399090-20-000004 · wf-form4_160927315833586.xml · nonDerivative · entry 1 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,432 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 · balance_after: The Reporting Person's holdings are adjusted in this report to reflect the 5-for-1 reverse stock split that occurred on June 11, 2020 (as to 150,000 previously-reported shares), plus the exempt acquisition of 4,807 shares under the Issuer's Employee Stock Purchase Plan. Read SEC document |
| April 15, 2020 Filed Apr 15, 2020 21:11 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | PurchaseCommon Stock | 42,470 | $0.37 | $15,599.23 |
DisclosureSEC source: 0001628280-20-005007 · wf-form4_158698508632295.xml · nonDerivative · entry 3 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.3640 to $0.3700, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| April 14, 2020 Filed Apr 15, 2020 21:11 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | PurchaseCommon Stock | 55,830 | $0.37 | $20,623.60 |
DisclosureSEC source: 0001628280-20-005007 · wf-form4_158698508632295.xml · nonDerivative · entry 2 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,530 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.3552 to $0.3862, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 21:11 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | PurchaseCommon Stock | 51,700 | $0.32 | $16,481.96 |
DisclosureSEC source: 0001628280-20-005007 · wf-form4_158698508632295.xml · nonDerivative · entry 1 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,700 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.3133 to $0.3236, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| March 18, 2020 Filed Mar 21, 2020 01:27 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option · Derivative | 100,000 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0001399090-20-000002 · wf-form4_158475401864123.xml · derivative · entry 1 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-03-18 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 |
| July 16, 2019 Filed Jul 18, 2019 22:48 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option · Derivative | 150,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0000924168-19-000065 · wf-form4_156349010281979.xml · derivative · entry 1 NESTOR TOD A · CIK 0001399090 · President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2029-07-16 F1 · derivative.exercise_date: Date applies to one-fourth of the total. The remaining three-fourths vest in equal monthly installments thereafter over a 3 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.