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