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