0001556919-21-000002.txt : 20210223 0001556919-21-000002.hdr.sgml : 20210223 20210223163556 ACCESSION NUMBER: 0001556919-21-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210219 FILED AS OF DATE: 20210223 DATE AS OF CHANGE: 20210223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warren James Raymond III CENTRAL INDEX KEY: 0001556919 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 21666125 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 4 1 wf-form4_161411613398423.xml FORM 4 X0306 4 2021-02-19 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 Stock Option (Right to buy) 5.59 2021-02-19 4 A 0 12000 0 A 2022-02-19 2031-02-19 Common Stock 12000.0 12000 D Date exercisable applies to one-fourth of the total shares subject to the stock option. The remaining three-fourths vest in equal monthly installments thereafter over a three year period. /s/ James R. Warren III 2021-02-23