-----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, Dqb5S7LHeJBF1hur5McNiHx2m3t2bPSFS/8uUILotF5QJ3zcmMn/ybu6DgnyMWl+ WJaJXrC9wxfD6iSEgAg5+Q== 0001144204-10-001398.txt : 20100111 0001144204-10-001398.hdr.sgml : 20100111 20100111162653 ACCESSION NUMBER: 0001144204-10-001398 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100111 DATE AS OF CHANGE: 20100111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wilson Robert Jr. CENTRAL INDEX KEY: 0001480357 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 10520534 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 3 1 form313004_011110162639-.xml X0203 3 2009-12-31 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001480357 Wilson Robert Jr. 1244 GALLATIN PIKE SOUTH MADISON TN US 37115 0 0 0 1 Vice President of Subsidiary Common Stock 1000000 I By TLC Investments, LLC Stock Options for Common Stock 0.64 2019-12-31 Common Stock 140000 D Convertible Promissory Note 1 2013-06-30 Common Stock 500000 I By TLC Investments, LLC Warrant to Purchase Common Stock 0.65 2014-12-31 Common Stock 600000 I By Woodstone Energy, LLC Mr. Wilson owns a minority interest in this company. Granted under the 2008 Stock Incentive Plan; 25% exercisable on 12/31/2010, the remaining 75% exercisable monthly in equal amounts over next 36 months. This Note is convertible from 06/30/2010 to 06/30/2013. Exercisable as to 400,000 shares when $10 million in orders received, and as to 200,000 shares when $5 million additional orders received. Robert E. Wilson 2010-01-11 -----END PRIVACY-ENHANCED MESSAGE-----