0001144204-18-063871.txt : 20181210 0001144204-18-063871.hdr.sgml : 20181210 20181210170821 ACCESSION NUMBER: 0001144204-18-063871 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181130 FILED AS OF DATE: 20181210 DATE AS OF CHANGE: 20181210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tu James CENTRAL INDEX KEY: 0001564957 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226908 MAIL ADDRESS: STREET 1: ENERGY FOCUS, INC. STREET 2: 32000 AURORA ROAD CITY: SOLON STATE: OH ZIP: 44139 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huang Gina CENTRAL INDEX KEY: 0001600805 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226909 MAIL ADDRESS: STREET 1: C/O ENERGY FOCUS, INC. STREET 2: 32000 AURORA ROAD CITY: SOLON STATE: OH ZIP: 44139 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jag International Co Ltd. CENTRAL INDEX KEY: 0001544485 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226910 BUSINESS ADDRESS: STREET 1: 12 F, NO. 383, SEC 4, REN-AI ROAD STREET 2: DA-AN DISTRICT CITY: TAIPEI STATE: F5 ZIP: 106 BUSINESS PHONE: 886-921-812-983 MAIL ADDRESS: STREET 1: 12 F, NO. 383, SEC 4, REN-AI ROAD STREET 2: DA-AN DISTRICT CITY: TAIPEI STATE: F5 ZIP: 106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brilliant Start Enterprise, Inc. CENTRAL INDEX KEY: 0001600870 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226911 BUSINESS ADDRESS: STREET 1: PORTCULLIS TRUSTNET CHAMBERS CITY: ROAD TOWN, TORTOLA STATE: D8 ZIP: 3444 BUSINESS PHONE: 440-715-1291 MAIL ADDRESS: STREET 1: PORTCULLIS TRUSTNET CHAMBERS CITY: ROAD TOWN, TORTOLA STATE: D8 ZIP: 3444 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Luo Jiangang CENTRAL INDEX KEY: 0001588515 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226912 MAIL ADDRESS: STREET 1: 18 MICHELLE WAY CITY: PINE BROOK STATE: NJ ZIP: 07058 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cleantech Global Ltd CENTRAL INDEX KEY: 0001588566 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226913 BUSINESS ADDRESS: STREET 1: 18 MICHELLE WAY CITY: PINE BROOK STATE: NJ ZIP: 07058 BUSINESS PHONE: 201-966-3472 MAIL ADDRESS: STREET 1: 18 MICHELLE WAY CITY: PINE BROOK STATE: NJ ZIP: 07058 FORMER NAME: FORMER CONFORMED NAME: Prime Science & Technology Inc. DATE OF NAME CHANGE: 20131007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 5 ELEMENTS GLOBAL FUND, LP CENTRAL INDEX KEY: 0001480824 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226914 BUSINESS ADDRESS: STREET 1: 114 WEST 47TH STREET STREET 2: STE. 1725 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212.847.7225 MAIL ADDRESS: STREET 1: 114 WEST 47TH STREET STREET 2: STE. 1725 CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cheng Yeh Mei-Hui CENTRAL INDEX KEY: 0001761139 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226915 MAIL ADDRESS: STREET 1: 7F, LANE 71, SEC 1 STREET 2: HANG ZHOU SOUTH ROAD CITY: TAIPEI STATE: F5 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Communal International, Ltd. CENTRAL INDEX KEY: 0001761130 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226916 BUSINESS ADDRESS: STREET 1: 17F, NO.87 STREET 2: SUNG CHIANG ROAD CITY: TAIPEI STATE: F5 ZIP: 00000 BUSINESS PHONE: 886225061800 MAIL ADDRESS: STREET 1: 17F, NO.87 STREET 2: SUNG CHIANG ROAD CITY: TAIPEI STATE: F5 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 5 Elements Energy Efficiency Ltd. CENTRAL INDEX KEY: 0001544460 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36583 FILM NUMBER: 181226917 BUSINESS ADDRESS: STREET 1: 17F, NO.87, SUNG CHIANG ROAD CITY: TAIPEI STATE: F5 ZIP: 104 BUSINESS PHONE: 886-2-2506-1800 MAIL ADDRESS: STREET 1: 17F, NO.87, SUNG CHIANG ROAD CITY: TAIPEI STATE: F5 ZIP: 104 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 tv508674_3.xml OWNERSHIP DOCUMENT X0206 3 2018-11-30 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001564957 Tu James 1 BRIDGE PLAZA NORTH, #275 FORT LEE NJ 07024 0 0 0 1 Member of 10% owner group 0001600805 Huang Gina 3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3 LANE 140 SONG SHAN DISTRICT TAIPEI CITY F5 105 TAIWAN, PROVINCE OF CHINA 0 0 0 1 Member of 10% owner group 0001544485 Jag International Co Ltd. 3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3 LANE 140, SONG SHAN DISTRICT TAIPEI CITY F5 105 TAIWAN, PROVINCE OF CHINA 0 0 0 1 Member of 10% owner group 0001600870 Brilliant Start Enterprise, Inc. 3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3 LANE 140, SONG SHAN DISTRICT TAIPEI CITY F5 105 TAIWAN, PROVINCE OF CHINA 0 0 0 1 Member of 10% owner group 0001588515 Luo Jiangang 18 MICHELLE WAY PINE BROOK NJ 07058 0 0 0 1 Member of 10% owner group 0001588566 Cleantech Global Ltd ONE OFFSHORE INCORPORATION CENTRE ROAD TOWN D8 VG1110 VIRGIN ISLANDS, BRITISH 0 0 0 1 Member of 10% owner group 0001480824 5 ELEMENTS GLOBAL FUND, LP 1 BRIDGE PLAZA NORTH, #275 FORT LEE NJ 07024 0 0 0 1 Member of 10% owner group 0001761139 Cheng Yeh Mei-Hui SEA MEADOW HOUSE, BLACKBURNE HIGHWAY, P.O. BOX 116 ROAD TOWN D8 VG1110 VIRGIN ISLANDS, BRITISH 0 0 0 1 Member of 10% owner group 0001761130 Communal International, Ltd. 1 BRIDGE PLAZA NORTH, #275 FORT LEE NJ 07024 0 0 0 1 Member of 10% owner group 0001544460 5 Elements Energy Efficiency Ltd. 17F, NO.87, SUNG CHIANG ROAD TAIPEI F5 104 TAIWAN, PROVINCE OF CHINA 0 0 0 1 Member of 10% owner group Common Stock, par value $0.0001 per share ("Common Stock") 1167390 I See footnotes Common Stock 519565 I See footnote Common Stock 2502 D Common Stock 437391 I See footnotes These securities are indirectly beneficially owned by Gina Huang and are directly held as follows: (a) 600,000 shares of Common Stock by Jag International, Ltd., a British Virgin Islands entity ("Jag"), (b) 417,390 shares of Common Stock by Brilliant Start Enterprise, Inc., a British Virgin Islands entity ("Brilliant Start"), and (c) 150,000 shares of Common Stock by 5 Elements Global Fund L.P., a Delaware limited partnership ("Global Fund"). Ms. Huang is the sole owner of each of Jag and Brilliant Start, and has a pecuniary interest in 50% of the 300,000 shares of Common Stock held by Global Fund. Mr. Tu is the Managing Partner of Global Fund and does not beneficially own any securities required to be reported on this Form 3. These securities are directly held by Cleantech Global Ltd. a British Virgin Islands entity ("Cleantech"), and indirectly beneficially owned by Jiangang Luo, who is the Managing Partner of Cleantech. Mr. Luo beneficially owns 5% of the shares of Common Stock held by Cleantech. These securities are owned solely by Jiangang Luo. These securities are indirectly beneficially owned by Yeh Mei-Hui Cheng and are directly held as follows: (a) 150,000 shares of Common Stock by Global Fund and (b) 287,391 by 5 Elements Energy Efficiency Limited, a British Virgin Islands entity ("Energy Efficiency"), which is owned 50% by Ms. Cheng and 50% by Communal International, Ltd. ("Communal"). Each of James Tu and Ms. Cheng is a Co-Founder and 50% owner of Communal. Ms. Cheng is the general partner and controlling partner of Energy Efficiency and has a pecuniary interest in all the shares of Common Stock held by Energy Efficiency. In addition, Ms. Cheng has a pecuniary interest in 50% of the 300,000 shares of Common Stock held by Global Fund. On November 30, 2018, the Reporting Persons filed a Schedule 13D reporting that they may be deemed to be a "group" under Section 13(d)(3) of the Exchange Act of 1934, as amended, and Rule 13d-5 promulgated thereunder. JAMES TU, /s/ James Tu, James Tu 2018-12-07 GINA HUANG, /s/ Gina Huang (Mei-Yun Huang), Gina Huang (Mei-Yun Huang) 2018-12-06 JAG INTERNATIONAL, LTD., By: /s/ Gina Huang (Mei-Yun Huang), Gina Huang (Mei-Yun Huang), General Partner 2018-12-06 BRILLIANT START ENTERPRISE, INC., By: /s/ Gina Huang (Mei-Yun Huang), Gina Huang (Mei-Yun Huang), General Partner 2018-12-06 JIANGANG LUO, /s/ Jiangang Luo, Jiangang Luo 2018-12-06 CLEANTECH GLOBAL LTD., By: /s/ Jiangang Luo, Jiangang Luo, Managing Partner 2018-12-06 5 ELEMENTS GLOBAL FUND L.P., By: /s/ James Tu, James Tu, Managing Partner 2018-12-07 YEH MEI-HUI CHENG, /s/ Yeh Mei-Hui Cheng, Yeh Mei-Hui Cheng 2018-12-06 COMMUNAL INTERNATIONAL, LTD., By: /s/ Yeh Mei-Hui Cheng, Yeh Mei-Hui Cheng, Authorized Representative 2018-12-06 5 ELEMENTS ENERGY EFFICIENCY LIMITED, By: /s/ Yeh Mei-Hui Cheng, Yeh Mei-Hui Cheng, Authorized Representative 2018-12-06