-----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, Pa1HxYniRU3bTUwV6X/xu7AhqEO+ltGjjgtSRpl7A7dDQjoAnj5UduTma/MVat1q 6yT64IABLRpu/3Q5uOH08A== 0001019687-09-002385.txt : 20090701 0001019687-09-002385.hdr.sgml : 20090701 20090701162411 ACCESSION NUMBER: 0001019687-09-002385 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090624 FILED AS OF DATE: 20090701 DATE AS OF CHANGE: 20090701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gelbaum David CENTRAL INDEX KEY: 0001391795 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 09922831 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 09922830 MAIL ADDRESS: STREET 1: 2309 SANTIAGO DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 09922829 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 4/A 1 edgar.xml PRIMARY DOCUMENT X0303 4/A 2009-06-24 2009-06-29 0000924168 ENERGY FOCUS, INC/DE EFOI 0001391795 Gelbaum David 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA CA 92627 1 0 1 0 0001403417 Gelbaum Monica Chavez 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA CA 92627 0 0 1 0 0001403463 Quercus Trust 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA CA 92627 0 0 1 0 Director Stock Option .60 2009-06-24 4 A 0 15000 0 A Common Stock 15000 25000 D The option is exercisable when it is vested, which vesting occurs in 12 equal installments commencing one month from the date of the grant, becoming fully exercisable on 6/24/2010. The option expires on earlier of (i) 6/24/2019, or (ii) 12 months after David Gelbaum ceases to serve as a Director of the Issuer. /s/ David Gelbaum, Co-Trustee, The Quercus Trust 2009-07-01 /s/ David Gelbaum, as attorney-in-fact for Monica Chavez Gelbaum, Co-Trustee, The Quercus Trust 2009-07-01 -----END PRIVACY-ENHANCED MESSAGE-----