0000924168-16-000024.txt : 20160318 0000924168-16-000024.hdr.sgml : 20160318 20160318162534 ACCESSION NUMBER: 0000924168-16-000024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160316 FILED AS OF DATE: 20160318 DATE AS OF CHANGE: 20160318 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENERGY FOCUS, INC/DE CENTRAL INDEX KEY: 0000924168 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 943021850 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 32000 AURORA ROAD STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 BUSINESS PHONE: 4407151300 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 FORMER COMPANY: FORMER CONFORMED NAME: FIBERSTARS INC /CA/ DATE OF NAME CHANGE: 19940527 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cheng Simon CENTRAL INDEX KEY: 0001555297 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 161516376 MAIL ADDRESS: STREET 1: C/O ENERGY FOCUS, INC. STREET 2: 32000 AURORA ROAD CITY: SOLON STATE: OH ZIP: 44139 4 1 wf-form4_145833272310842.xml FORM 4 X0306 4 2016-03-16 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001555297 Cheng Simon ENERGY FOCUS, INC. 32000 AURORA ROAD, SUITE B SOLON OH 44139 1 0 0 0 Stock Option 6.77 2016-03-16 4 A 0 3150 6.77 A 2017-03-16 2026-03-16 Common Stock 3150.0 3150 D Restricted Stock Units 2016-03-16 4 A 0 2330 0 A 2017-03-16 2019-03-17 Common Stock 2330.0 2330 D Stock Option 4.1 2015-01-28 2024-01-28 Common Stock 5000.0 5000 D Stock Option 5.47 2016-03-16 2025-03-16 Common Stock 7500.0 7500 D Stock Option 2.6 2013-07-31 2022-07-31 Common Stock 1000.0 1000 D Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period. Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock. 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. /s/ Simon Cheng 2016-03-18