Energy Focus, Inc.
ENERGY FOCUS, INC/DE (Form: 4, Received: 07/05/2017 16:20:49)
FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN 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. Issuer Name and Ticker or Trading Symbol

ENERGY FOCUS, INC/DE [ EFOI ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
CFO & Secretary
(Last)          (First)          (Middle)

32000 AURORA ROAD, SUITE B
3. Date of Earliest Transaction (MM/DD/YYYY)

6/30/2017
(Street)

SOLON, OH 44139
(City)        (State)        (Zip)
4. 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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   6/30/2017     A (1)    1416   A $2.2355   4353   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option   $3.17                    4/3/2018   (2) 4/3/2027   Common Stock   28961.0     28961   D    
Restricted Stock Units     (3)                  4/3/2018   (4) 4/4/2020   Common Stock   19307.0     19307   D    
Restricted Stock Units     (3)                  3/16/2018   (5) 3/16/2019   Common Stock   2347.0     2347   D    
Restricted Stock Units     (3)                  3/13/2018   (4) 3/14/2020   Common Stock   8561.0     8561   D    
Restricted Stock Units     (3)                  8/16/2017   (4) 8/16/2019   Common Stock   5000.0     5000   D    
Stock Option   $15.08                    7/13/2016   (2) 9/17/2025   Common Stock   5000.0     5000   D    

Explanation of Responses:
(1)  Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan.
(2)  Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.
(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.
(5)  Date applies to 1,173 of the restricted stock units. The remaining 1,174 restricted stock units vest on March 16, 2019.

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 7/5/2017
** 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 4(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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