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