-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Bm8y+zvton/Ecc/ybDJxnDDHqK3w/THAL8kVbWoIBEhbj/lkGfnFyMTnI9oylzaa IPxKqZp6IWRuXKu8J9j4hQ== 0001019687-08-004130.txt : 20080911 0001019687-08-004130.hdr.sgml : 20080911 20080911195637 ACCESSION NUMBER: 0001019687-08-004130 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080314 FILED AS OF DATE: 20080911 DATE AS OF CHANGE: 20080911 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 CITY: SOLON STATE: OH ZIP: 44139 BUSINESS PHONE: 5104900719 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD 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: Gelbaum Monica Chavez CENTRAL INDEX KEY: 0001403417 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 081068102 BUSINESS ADDRESS: BUSINESS PHONE: 760-942-0157 MAIL ADDRESS: STREET 1: 2309 SANTIAGO DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gelbaum David CENTRAL INDEX KEY: 0001391795 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 081068103 BUSINESS ADDRESS: BUSINESS PHONE: 949-646-3784 MAIL ADDRESS: STREET 1: 2309 SANTIAGO DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Quercus Trust CENTRAL INDEX KEY: 0001403463 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 081068104 BUSINESS ADDRESS: STREET 1: 2309 SANTIAGO DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 310-201-7481 MAIL ADDRESS: STREET 1: 2309 SANTIAGO DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 3/A 1 edgar.xml PRIMARY DOCUMENT X0203 3/A 2008-03-14 2008-03-21 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001403463 Quercus Trust 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA, CA 92627 0 0 1 0 0001391795 Gelbaum David 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA, CA 92627 0 0 1 1 Co-Trustee 0001403417 Gelbaum Monica Chavez 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA, CA 92627 0 0 1 1 Co-Trustee Warrant 3.08 2008-03-14 2013-03-14 Common Stock 1560062 D This amendment to Form 3 is being filed to clarify that, in accordance with the limitations on exercise in the Warrant, the number of shares of common stock of the Issuer ("Common Stock") that may be acquired by the Reporting Persons upon any exercise of the Warrant is limited to the extent necessary to insure that, following such exercise, the total number of Common Stock then beneficially owned by the Reporting Persons does not exceed 19.9% of the total number of outstanding Common Stock (including the Common Stock issuable upon such exercise). /s/ David Gelbaum, Co-Trustee, The Quercus Trust 2008-09-11 /s/ David Gelbaum, as attorney-in-fact for Monica Chavez Gelbaum, Co-Trustee, The Quercus Trust 2008-09-11 -----END PRIVACY-ENHANCED MESSAGE-----