0001019687-11-000822.txt : 20110310
0001019687-11-000822.hdr.sgml : 20110310
20110310181734
ACCESSION NUMBER: 0001019687-11-000822
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110224
FILED AS OF DATE: 20110310
DATE AS OF CHANGE: 20110310
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: 11679748
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: 11679747
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: 11679746
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
2011-02-24
2011-03-01
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
0
0001403463
Quercus Trust
1835 NEWPORT BLVD.
A109-PMB 467
COSTA MESA
CA
92627
0
0
1
0
Common Stock
2011-02-24
4
X
0
6500
1.0023
A
5173580
D
Common Stock
2011-02-25
4
X
0
150000
1.005
A
5323580
D
Common Stock
2011-02-25
4
X
0
7500
1.0043
D
5331080
D
Warrant to purchase common stock
.01
2010-02-25
4
A
0
150000
A
2010-06-01
2014-12-29
Common Stock
150000
0
D
Option to purchase common stock
.60
2010-02-25
4
X
0
7500
A
2010-06-04
2014-12-29
Common Stock
7500
0
D
Warrant acquired 12/29/2009 in exchange for guarantee of obligation.
Option granted for services as director under Company stock option plan.
/s/Joseph P. Bartlett, as attorney-in-fact for David Gelbaum, Co-Trustee, The Quercus Trust
2011-03-10
/s/ Joseph P. Bartlett, as attorney-in-fact for Monica Chavez Gelbaum, Co-Trustee, The Quercus Trust
2011-03-10