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