0001209191-12-009997.txt : 20120214 0001209191-12-009997.hdr.sgml : 20120214 20120214165758 ACCESSION NUMBER: 0001209191-12-009997 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DAVENPORT JOHN CENTRAL INDEX KEY: 0001254581 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 12612058 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 5 1 c27180_5x0.xml MAIN DOCUMENT DESCRIPTION X0304 5 2011-12-31 0 1 0000924168 ENERGY FOCUS, INC/DE EFOI 0001254581 DAVENPORT JOHN 32000 AURORA ROAD SOLON OH 44139 1 1 0 0 President Warrant for Common Stock 3.08 2008-03-14 4 P 0 15600 0 A 2008-03-14 2013-03-14 Common Stock 15600 449600 D Warrant for Common Stock .01 2009-12-30 4 P 0 125000 0 A 2009-12-30 2014-12-30 Common Stock 125000 574600 D The correct number of warrants were filed on the 3/14/2008 Form 4 filing, however, there was a mathematical error in the 'Number of derivative Securities Beneficially Owned Following Reported Transaction(s).' The amount filed was 15,600, but should have been 415,600. These 15,600 warrants were also not carried forward as of the reporting person's Form 4 filed 4/1/2011. The 'Number of derivative Securities Beneficially Owned Following Reported Transaction(s)' was filed as 434,000, but should have been 449,600. Issuer issued these warrants to reporting person as partial consideration for his pledge of funds to assist issuer in its bonding support program. For description of that program, see issuer's proxy statement filed with SEC for issuer's 2010 annual meeting of shareholders. John Davenport 2012-02-14