-----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, FeOUWnmk1Hz03GrUCP8lKWzfWCiPBaBGI0NCSLAYTm/nkSbtzHaJXFe+zqmxtuWH Nvx2yBvGCaa8HOLOQLZKBw== 0001019687-09-000702.txt : 20090302 0001019687-09-000702.hdr.sgml : 20090302 20090302170618 ACCESSION NUMBER: 0001019687-09-000702 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090226 FILED AS OF DATE: 20090302 DATE AS OF CHANGE: 20090302 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: Quercus Trust CENTRAL INDEX KEY: 0001403463 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 09648461 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gelbaum Monica Chavez CENTRAL INDEX KEY: 0001403417 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 09648462 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 09648463 BUSINESS ADDRESS: BUSINESS PHONE: 949-646-3784 MAIL ADDRESS: STREET 1: 2309 SANTIAGO DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-02-26 0000924168 ENERGY FOCUS, INC/DE EFOI 0001391795 Gelbaum David 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA CA 92627 1 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 0001403463 Quercus Trust 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA CA 92627 0 0 1 0 Option 1.05 2009-02-26 4 A 0 10000 0 A 2019-02-26 Common Stock 10000 10000 D On February 26, 2009, David Gelbaum was elected to the Issuer's board of directors and was awarded a non-statutory option under the Issuer's 2008 Stock Incentive Plan to purchase 10,000 shares of Common Stock at an exercise price per share of $1.05 (the ?Option?). The Option has a term of ten years and vests and becomes exercisable in twelve equal monthly installments beginning on the first month after the award. /s/ David Gelbaum, Co-Trustee, The Quercus Trust 2009-03-01 /s/ David Gelbaum, as attorney-in-fact for Monica Chavez Gelbaum, Co-Trustee, The Quercus Trust 2009-03-01 -----END PRIVACY-ENHANCED MESSAGE-----