-----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, VcVHmAr1dDikRo3eLZ08175XGOWLMp4oiJYQuMRLn/Pct/7c/1b/mHNpF9umTIhb jlGiShcQNemI8Bf7YsO1KQ== 0001019687-10-000147.txt : 20100114 0001019687-10-000147.hdr.sgml : 20100114 20100114152849 ACCESSION NUMBER: 0001019687-10-000147 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080314 FILED AS OF DATE: 20100114 DATE AS OF CHANGE: 20100114 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: 10527582 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: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 10527580 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: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 10527581 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 0001391795 Gelbaum David 1835 NEWPORT BLVD., A109-PMB 467 COSTA MESA, CA 92627 1 0 1 0 0001403463 Quercus Trust 1835 NEWPORT BLVD., A109-PMB 467 COSTA MESA, CA 92627 0 0 1 0 0001403417 Gelbaum Monica Chavez 1835 NEWPORT BLVD., A109-PMB 467 COSTA MESA, CA 92627 0 0 1 0 Warrant .01 2008-03-14 2013-03-14 Common Stock 1560062 D In consideration of the Reporting Persons' agreement to purchase a certain number of shares from Diker Management LLC, the terms of which are described more fully in the Issuer's Form 8-K filed with the SEC on January 7, 2010, the Issuer agreed on December 30, 2009 to reduce the exercise price of the Warrant to $0.01 per share. /s/ David Gelbaum, Co-Trustee, The Quercus Trust 2010-01-13 /s/ David Gelbaum, as attorney-in-fact for Monica Chavez Gelbaum, Co-Trustee, The Quercus Trust 2010-01-13 -----END PRIVACY-ENHANCED MESSAGE-----