-----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, Eb8jvunvJBLbyYnHfpP9qY9CUnvkhUevMYIhK2BGvTf4GA9IqLvue0cD0ltknWy9 +5YqmsezkgO6ceFNpdCtLA== 0001144204-10-001565.txt : 20100112 0001144204-10-001565.hdr.sgml : 20100112 20100112123545 ACCESSION NUMBER: 0001144204-10-001565 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100112 DATE AS OF CHANGE: 20100112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DAVENPORT JOHN CENTRAL INDEX KEY: 0001254581 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 10522077 MAIL ADDRESS: STREET 1: 44259 NOBEL DRIVE CITY: FREMONT STATE: CA ZIP: 94538 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 form427868_011210123515-.xml X0303 4 2009-12-31 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001254581 DAVENPORT JOHN ENERGY FOCUS, INC. 32000 AURORA ROAD SOLON OH US 44139 1 1 0 0 President Common Stock 2009-12-31 4 A 0 76923 0.65 A 171642 D Stock Options for Common Stock 0.75 2009-12-31 4 J 0 25000 0 D 2019-02-10 Common Stock 25000 359000 D The shares are subject to forfeiture and to a restriction on transfer. Each officer will forfeit his rights in his shares if he ceases to provide service to the Company as an employee, director, or consultant prior to the closing of the first trading window after June 30, 2010, during which he does not possess material inside information about the Company, other than cessation of service as a result of (i) his death or (ii) his total and permanent disability, or (iii) within three months after a change in control of the Company. Should the officer cease to provide service to the Company as a result of any of these three items, this restriction will lapse and his shares will not be forfeited. The terms "service", "total and permanent disability", and "change in control" are defined in the Company's Plan. The term "trading window" means the first twenty calendar days after the second business day following public disclosure of the Company's quar terly or annual financial results. Before the forfeiture provision lapses by its terms, or by the officer's earlier death or total and permanent disability, or by his leaving the service of the company within three months after change in control, the officer is not allowed to transfer any interest in his shares. Any attempt to transfer the shares will be ineffective. These options were performance-based and would only be exercisable if and only if Energy Focus, Inc. meets specific financial performance criteria. These conditions were not met, therefore the stock options are forfeited. Twenty-five percent were to become exercisable on February 10, 2010, and the remaining 75% become exercisable monthly in equal amounts over the following 36 months. John M. Davenport 2010-01-12 -----END PRIVACY-ENHANCED MESSAGE-----