Filing Details
- Accession Number:
- 0001019687-11-000682
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-01 20:34:45
- Reporting Period:
- 2011-02-24
- Filing Date:
- 2011-03-01
- Accepted Time:
- 2011-03-01 20:34:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 924168 | Energy Focus Inc | EFOI | Electric Lighting & Wiring Equipment (3640) | 943021850 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1391795 | David Gelbaum | 1835 Newport Blvd. A109-Pmb 467 Costa Mesa CA 92627 | Yes | No | Yes | No | |
| 1403417 | Chavez Monica Gelbaum | 1835 Newport Blvd. A109-Pmb 467 Costa Mesa CA 92627 | No | No | Yes | No | |
| 1403463 | Trust Quercus | 1835 Newport Blvd. A109-Pmb 467 Costa Mesa CA 92627 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2011-02-24 | 6,500 | $1.00 | 5,173,580 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-02-25 | 150,000 | $1.01 | 5,323,580 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-02-25 | 7,500 | $1.00 | 5,331,080 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | X | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to purchase common stock | Acquisiton | 2010-02-25 | 150,000 | $0.00 | 150,000 | $0.01 |
| Common Stock | Option to purchase common stock | Acquisiton | 2010-02-25 | 7,500 | $0.00 | 7,500 | $0.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-06-01 | 2011-02-25 | No | 4 | M | Direct |
| 0 | 2010-06-04 | 2014-12-29 | No | 4 | X | Direct |
Footnotes
- Warrant acquired 12/29/2009 in exchange for guarantee of obligation.
- Option granted for services as director under Company stock option plan.
Billionaire Hedge Funds
