SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Wilson Robert Jr.

(Last) (First) (Middle)
1244 GALLATIN PIKE SOUTH

(Street)
MADISON TN US 37115

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/31/2009
3. Issuer Name and Ticker or Trading Symbol
ENERGY FOCUS, INC/DE [ EFOI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Vice President of Subsidiary
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 1,000,000 I By TLC Investments, LLC(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options for Common Stock (2) 12/31/2019 Common Stock 140,000 $0.64 D
Convertible Promissory Note (3) 06/30/2013 Common Stock 500,000 $1 I By TLC Investments, LLC(1)
Warrant to Purchase Common Stock (4) 12/31/2014 Common Stock 600,000 $0.65 I By Woodstone Energy, LLC(1)
Explanation of Responses:
1. Mr. Wilson owns a minority interest in this company.
2. 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.
3. This Note is convertible from 06/30/2010 to 06/30/2013.
4. 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 01/11/2010
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.