0001437749-13-002046.txt : 20130227 0001437749-13-002046.hdr.sgml : 20130227 20130227152317 ACCESSION NUMBER: 0001437749-13-002046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130226 FILED AS OF DATE: 20130227 DATE AS OF CHANGE: 20130227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PLUSH MARK J CENTRAL INDEX KEY: 0001198942 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 13646474 MAIL ADDRESS: STREET 1: KEITHLEY INSTRUMENTS INC STREET 2: 28775 AURORA RD CITY: CLEVELAND 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 rdgdoc.xml PRIMARY DOCUMENT X0306 4 2013-02-26 0000924168 ENERGY FOCUS, INC/DE EFOI 0001198942 PLUSH MARK J 32000 AURORA ROAD SOLON OH 44139 1 Chief Financial Officer and VP Common Stock 19796 D Stock option 0.2349 2013-02-26 4 A 0 125000 0 A 2014-03-31 2023-02-26 Common Stock 125000 450000 D Stock option 0.54 2012-07-07 2021-07-07 Common Stock 200000 200000 D Warrants to purchase Common Stock 0.01 2011-09-10 2016-08-11 Common Stock 125000 325000 D 25% is exercisable on the date shown, and the remaining 75% becomes exercisable monthly in equal amounts over the following 36 months. 25% of target granted options are earned if 2013 revenues meet or exceed 85% of the budget, and/or 75% of target granted options are earned if 2013 EBITDA meet or exceed 85% of budget. Options EARNED will vest as follows: 1/3 on March 31, 2014, and the remaining 2/3rd's monthly over the following 24 months ending March 31, 2016. Date applies to options EARNED. If the options granted are not EARNED, the option grants are terminated. /s/ Mark J. Plush 2013-02-27