0001209191-11-020636.txt : 20110401
0001209191-11-020636.hdr.sgml : 20110401
20110401164710
ACCESSION NUMBER: 0001209191-11-020636
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110401
FILED AS OF DATE: 20110401
DATE AS OF CHANGE: 20110401
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: 11732133
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
c15041_4x0.xml
MAIN DOCUMENT DESCRIPTION
X0303
4
2011-04-01
1
0000924168
ENERGY FOCUS, INC/DE
EFOI
0001410246
BERCHTOLD NICHOLAS G
32000 AURORA ROAD
SOLON
OH
44139
0
1
0
0
Former Chief Financial Officer
Stock Options for Common Stock
1.02
2011-04-01
4
J
0
150000
0
D
2020-02-25
Common Stock
150000
150000
D
These options were performance-based and would only be exercisable if and only if Energy Focus, Inc. met specific financial performance criteria. These conditions were not met, therefore the stock options are forfeited.
Twenty-five percent were to become exercisable on February 25, 2011, and the remaining 75% were to become exercisable monthly in equal amounts over the following 36 months.
Nicholas G. Berchtold
2011-04-01