-----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, UaD2NWhedC6jHe0mi73i6Dr7YSG9UKXdwIlEnyACWMoJcBYwvadD4tJ+ty9xmFb/ rmaczDAZO7xxiXMsMFkbsw== 0001209191-11-004903.txt : 20110125 0001209191-11-004903.hdr.sgml : 20110125 20110125165403 ACCESSION NUMBER: 0001209191-11-004903 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110103 FILED AS OF DATE: 20110125 DATE AS OF CHANGE: 20110125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hilliard Eric CENTRAL INDEX KEY: 0001381095 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 11546982 MAIL ADDRESS: STREET 1: 32000 AURORA RD 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 c11441_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2011-01-03 0000924168 ENERGY FOCUS, INC/DE EFOI 0001381095 Hilliard Eric 32000 AURORA ROAD SOLON OH 44139 0 1 0 0 Chief Operating Officer Common Stock 2011-01-03 4 A 0 9896 0.96 A 42488 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 December 31, 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. (Continued from footnote 1) 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 quarterly 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. Eric W. Hilliard 2011-01-25 -----END PRIVACY-ENHANCED MESSAGE-----