0001437749-12-013071.txt : 20121221 0001437749-12-013071.hdr.sgml : 20121221 20121221105800 ACCESSION NUMBER: 0001437749-12-013071 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20121212 FILED AS OF DATE: 20121221 DATE AS OF CHANGE: 20121221 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: 000-24230 FILM NUMBER: 121279816 MAIL ADDRESS: STREET 1: ENERGY FOCUS, INC. STREET 2: 32000 AURORA ROAD CITY: SOLON STATE: OH ZIP: 44139 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 CITY: SOLON STATE: OH ZIP: 44139 BUSINESS PHONE: 5104900719 MAIL ADDRESS: STREET 1: 32000 AURORA ROAD CITY: SOLON STATE: OH ZIP: 44139 FORMER COMPANY: FORMER CONFORMED NAME: FIBERSTARS INC /CA/ DATE OF NAME CHANGE: 19940527 3 1 rdgdoc.xml JAMES TU TEST X0206 3 2012-12-12 0 0000924168 ENERGY FOCUS, INC/DE EFOI 0001564957 Tu James 32000 AURORA ROAD SOLON OH 44139 1 Common Stock 1800000 I Shares held by 5 Elements Global Fund LP Common Stock 3800000 I Shares held by 5 Elements Energy Efficiency Ltd Warrant 0.54 2012-02-27 2015-02-27 Common Stock 900000 I Warrants held by 5 Elements Global Fund LP Warranty 0.54 2012-02-27 2015-02-27 Common Stock 1900000 I Warrants held by 5 Elements Energy Efficiency Ltd. James Tu is Founder, Chief Executive Officer and Chief Investment Officer of 5 Elements Global Fund. Communal International Ltd. is a 50% owner of 5 Elements Energy Efficiency Ltd. James Tu is Co-Founder of Communal International Ltd, and has shared voting and power to dispose of the shares. /s/ Mark J. Plush 2012-12-21 EX-24 2 poajtu3.htm JAMES TU POA Unassociated Document
Exhibit 24
 
 
 
JAMES TU
 
SECTION 13 and 16 FILINGS
 
Power of Attorney
 
KNOW ALL MEN BY THESE PRESENT: That James Tu has made, constituted, and appointed, and by this instrument does make, constitute, and appoint, Mark J. Plush, Vice President and Chief Financial Officer of Energy Focus, Inc., or Eric Hilliard, Chief Operating Officer of Energy Focus, Inc., his true and lawful attorney for him and in his name, place, and stead, with power of substitution, to subscribe, as attorney-in-fact, to file SEC Section 16 Filings, hereby giving and granting to the attorney-in-fact full power and authority to do and perform every act and thing necessary to be done in the premises, as fully as she might or could do if personally present, hereby ratifying and confirming all that the attorney-in-fact shall lawfully do or cause to be done by virtue hereof.
 
This Power of Attorney shall only apply to Section 13 and 16 Filings.
 
IN WITNESS WHEREOF, this Power of Attorney has been signed as of December 11, 2012.
 
         
/s/ James Tu
        
James Tu
Chairman of the Board of Directors, Energy Focus, Inc.