-----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, J5Rw4BMeQzxb3gx4P5mEBo1a6Tb7jl3SOqbUtzfcwG2XpqxY9rpDuTGAt3WuubVn /esf9SZY1hQhPsjAOwQGAg== 0001144204-09-030582.txt : 20090602 0001144204-09-030582.hdr.sgml : 20090602 20090602170216 ACCESSION NUMBER: 0001144204-09-030582 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090529 FILED AS OF DATE: 20090602 DATE AS OF CHANGE: 20090602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERCHTOLD NICHOLAS G CENTRAL INDEX KEY: 0001410246 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 09868981 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD CITY: SOLON STATE: OH ZIP: 44139 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 4 1 form423327_060209170137-.xml X0303 4 2009-05-29 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001410246 BERCHTOLD NICHOLAS G ENERGY FOCUS, INC. 32000 AURORA ROAD SOLON OH US 44139 0 1 0 0 Chief Financial Officer Common Stock 2009-05-29 4 A 0 16576 0.67 A 16576 D (a) The shares are subject to restrictions: (i) The holder will forfeit his rights in his shares if he leaves the employ of the company prior to the closing of the first trading window after December 31, 2009 in which he can sell the shares, and (ii) he cannot transfer the shares until that forfeiture provision lapses. Nicholas G. Berchtold 2009-06-02 -----END PRIVACY-ENHANCED MESSAGE-----