Energy Focus, Inc.
ENERGY FOCUS, INC/DE (Form: 3, Received: 03/20/2017 16:34:12)
FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Port Michael Harry

2. Date of Event Requiring Statement (MM/DD/YYYY)
3/16/2017 

3. Issuer Name and Ticker or Trading Symbol

ENERGY FOCUS, INC/DE [EFOI]

(Last)        (First)        (Middle)

32000 AURORA ROAD, SUITE B

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
CFO & Secretary /

(Street)

SOLON, OH 44139       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   2937   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option   7/13/2016   (1) 9/17/2025   Common Stock   5000.0   $15.08   D    
Restricted Stock Units   3/16/2018   (2) 3/16/2019   Common Stock   2347.0     (3) D    
Restricted Stock Units   8/16/2017   (4) 8/16/2019   Common Stock   5000.0     (3) D    
Restricted Stock Units   3/13/2018   (4) 3/14/2020   Common Stock   8561.0     (3) D    

Explanation of Responses:
( 1)  Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
( 2)  Date applies to 1,173 of the restricted stock units. The remaining 1,174 restricted stock units vest on March 16, 2019.
( 3)  Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.
( 4)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Port Michael Harry
32000 AURORA ROAD
SUITE B
SOLON, OH 44139


CFO & Secretary

Signatures
/s/ Michael H. Port 3/20/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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