-----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, B7u82eYe/rWPqr+rDEtjXubYwE11QH7z5NQ+jU33Ta7nLYis3QChYwJE38pDs+Az ixz4TGMn9vu6Q7jv+qscbQ== 0001019687-10-002582.txt : 20100708 0001019687-10-002582.hdr.sgml : 20100708 20100708202407 ACCESSION NUMBER: 0001019687-10-002582 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090624 FILED AS OF DATE: 20100708 DATE AS OF CHANGE: 20100708 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: 10945222 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: 10945221 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: 10945220 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 0 0 1 0 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 Director Stock Option .60 2009-06-24 4 A 0 8750 0 A 2011-02-25 Common Stock 8750 8750 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. All 8,750 shares underlying the option have vested as of the date of this Form 4. /s/ David Gelbaum, Co-Trustee, The Quercus Trust 2010-07-08 /s/ David Gelbaum, as attorney-in-fact for Monica Chavez Gelbaum, Co-Trustee, The Quercus Trust 2010-07-08 -----END PRIVACY-ENHANCED MESSAGE-----