James Tu
First SEC filing: June 24, 2014 · Latest: June 24, 2014
Insider at
Insider transactions
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Aug. 16, 2021 | EFOI | P | 5,000 | $2.70 | $13,500 | 249,851 Direct | +2.04% | Acquired | -84.2% (price as of 2026-10-05) |
| Feb. 19, 2021 | EFOI | A | 15,000 | · | · | 15,000 Direct | · | Acquired | (price as of 2026-10-05) |
| March 18, 2020 | EFOI | A | 150,000 | · | · | 150,000 Direct | · | Acquired | (price as of 2026-10-05) |
| July 16, 2019 | EFOI | A | 300,000 | · | · | 300,000 Direct | · | Acquired | (price as of 2026-10-05) |
| March 14, 2016 | EFOI | A | 37,915 | · | · | 37,915 Direct | · | Acquired | (price as of 2026-10-05) |
| March 14, 2016 | EFOI | A | 51,350 | · | · | 51,350 Direct | · | Acquired | (price as of 2026-10-05) |
| March 16, 2015 | EFOI | A | 80,000 | · | · | 80,000 Direct | · | Acquired | (price as of 2026-10-05) |
| Feb. 24, 2015 | EFOI | X | 90,000 | $4.30 | $387,000 | 300,000 Indirect | +42.86% | Acquired | -98.0% (price as of 2026-10-05) |
| Feb. 24, 2015 | EFOI | X | 90,000 | · | · | 0 Indirect | -100.00% | Disposed | (price as of 2026-10-05) |
| Jan. 28, 2014 | EFOI | A | 800,000 | · | · | 800,000 Direct | · | Acquired | (price as of 2026-10-05) |
| April 29, 2013 | EFOI | A | 400,000 | · | · | 400,000 Direct | · | Acquired | (price as of 2026-10-05) |
| April 29, 2013 | EFOI | A | 400,000 | · | · | 3,200,000 Direct | +14.29% | Acquired | (price as of 2026-10-05) |
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| Feb. 19, 2021 | EFOI | Stock Option (Right to buy) | Common Stock | $5.59 | Feb. 19, 2031 | 15,000 | Acquired |
| March 18, 2020 | EFOI | Stock Option | Common Stock | $0.30 | March 18, 2030 | 150,000 | Acquired |
| July 16, 2019 | EFOI | Stock Option | Common Stock | $0.42 | July 16, 2029 | 300,000 | Acquired |
| March 14, 2016 | EFOI | Restricted Stock Units | Common Stock | · | March 14, 2019 | 37,915 | Acquired |
| March 14, 2016 | EFOI | Stock Option | Common Stock | $7.70 | March 14, 2026 | 51,350 | Acquired |
| March 16, 2015 | EFOI | Stock Option | Common Stock | $5.47 | March 16, 2025 | 80,000 | Acquired |
| Feb. 24, 2015 | EFOI | Warrant (Right to Buy) | Common Stock | $4.30 | Feb. 27, 2015 | 90,000 | Disposed |
| Jan. 28, 2014 | EFOI | Stock option | Common Stock | $0.41 | Jan. 28, 2024 | 800,000 | Acquired |
| April 29, 2013 | EFOI | Stock Option | Common Stock | $0.23 | April 29, 2023 | 400,000 | Acquired |
| April 29, 2013 | EFOI | Stock Option | Common Stock | $0.23 | April 29, 2023 | 400,000 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 7 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| June 24, 2014 | EFOI | Common Stock | 2,100,000 | Indirect |
| Jan. 29, 2014 | EFOI | Common Stock | 1,800,000 | Indirect |
| Jan. 29, 2014 | EFOI | Warrant | 900,000 | Indirect |
| Dec. 21, 2012 | EFOI | Common Stock | 1,800,000 | Indirect |
| Dec. 21, 2012 | EFOI | Common Stock | 3,800,000 | Indirect |
| Dec. 21, 2012 | EFOI | Warrant | 900,000 | Indirect |
| Dec. 21, 2012 | EFOI | Warranty | 1,900,000 | Indirect |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2022 | $42,623 | · | · | · | · | · | $158,012 | $200,635 |
| 2021 | $276,942 | · | · | $65,106 | · | · | $2,247 | $344,295 |
| 2020 | $268,173 | $9,869 | · | $34,360 | $84,762 | · | $2,217 | $399,381 |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.