Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ENERGY FOCUS, INC/DEEFOI · Entity 7723 | CFO and Secretary | December 31, 2018 | January 03, 2019 |
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 December 31, 2018 · Filed January 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,906 |
Reported balance
After 2018-12-31 transaction · row 1
1 source rowRow 1 · 2018-12-31 · Grant · Acquired 6,906 · Balance 6,906 F1: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2021-05-30 | Direct | 50,474 |
Reported balance
Holding disclosure · report date 2018-12-31 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 50,474 F2: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. F3: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.81 · Expires 2028-05-29 | Direct | 75,711 |
Reported balance
Holding disclosure · report date 2018-12-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 75,711 F4: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan.
F2: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
F3: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.
F4: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two 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 |
|---|---|---|---|---|---|---|
| December 31, 2018 Filed Jan 3, 2019 21:40 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantCommon Stock | 6,906 | $0.53 | $3,631.87 |
DisclosureSEC source: 0000924168-19-000002 · wf-form4_154655159052517.xml · nonDerivative · entry 1 Turin Jerry · CIK 0001442677 · CFO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,906 F1 · kind: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 20:37 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantStock Option · Derivative | 75,711 | $0.00 Strike: $1.81 | $0.00 |
DisclosureSEC source: 0000924168-18-000057 · wf-form4_153065025132333.xml · derivative · entry 2 Turin Jerry · CIK 0001442677 · CFO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,711 Underlying: Common Stock · 75,711 shares Expires 2028-05-29 F4 · derivative.exercise_date: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 20:37 UTC | ENERGY FOCUS, INC/DE EFOI · Entity 7723 | GrantRestricted Stock Units · Derivative | 50,474 | $0.00 | $0.00 |
DisclosureSEC source: 0000924168-18-000057 · wf-form4_153065025132333.xml · derivative · entry 1 Turin Jerry · CIK 0001442677 · CFO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,474 Underlying: Common Stock · 50,474 shares Expires 2021-05-30 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: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date. 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.