0001556919-20-000002.txt : 20201113 0001556919-20-000002.hdr.sgml : 20201113 20201113150536 ACCESSION NUMBER: 0001556919-20-000002 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201111 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warren James Raymond III CENTRAL INDEX KEY: 0001556919 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 201310997 BUSINESS ADDRESS: BUSINESS PHONE: 216-696-2590 MAIL ADDRESS: STREET 1: TUCKER ELLIS LLP STREET 2: 925 EUCLID AVE., SUITE 1150 CITY: CLEVELAND STATE: OH ZIP: 44115 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 STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 BUSINESS PHONE: 4407151300 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD STREET 2: SUITE B CITY: SOLON STATE: OH ZIP: 44139 FORMER COMPANY: FORMER CONFORMED NAME: FIBERSTARS INC /CA/ DATE OF NAME CHANGE: 19940527 3 1 wf-form3_160529792184014.xml FORM 3 X0206 3 2020-11-11 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001556919 Warren James Raymond III 32000 AURORA ROAD SOLON OH 44139 0 1 0 0 SVP, GC & Corp. Secretary Restricted Stock Units Common Stock 3200.0 D Stock Option (Right to buy) 7.14 2030-09-28 Common Stock 10000.0 D The award vests in four equal annual installments beginning on September 28, 2021. Restricted stock units convert into Common Stock on a one-for-one basis. /s/ James R. Warren III 2020-11-13