0001556919-21-000004.txt : 20210929 0001556919-21-000004.hdr.sgml : 20210929 20210929092345 ACCESSION NUMBER: 0001556919-21-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210928 FILED AS OF DATE: 20210929 DATE AS OF CHANGE: 20210929 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: 211289614 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_163292181340728.xml FORM 4 X0306 4 2021-09-28 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 Common Stock 2021-09-28 4 M 0 800 0 A 800 D Restricted Stock Units 2021-09-28 4 M 0 800 0 D Common Stock 800.0 2400 D Restricted stock units convert into Common Stock on a one-for-one basis. On September 28, 2020, the reporting person was granted 3,200 restricted stock units, which award vests in four equal annual installments beginning on September 28, 2021. /s/ James R. Warren III 2021-09-29