0001437749-13-005055.txt : 20130501 0001437749-13-005055.hdr.sgml : 20130501 20130501151039 ACCESSION NUMBER: 0001437749-13-005055 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130429 FILED AS OF DATE: 20130501 DATE AS OF CHANGE: 20130501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tu James CENTRAL INDEX KEY: 0001564957 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24230 FILM NUMBER: 13802660 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 4 1 rdgdoc.xml PRIMARY DOCUMENT X0306 4 2013-04-29 0000924168 ENERGY FOCUS, INC/DE EFOI 0001564957 Tu James 32000 AURORA ROAD SOLON OH 44139 1 1 1 Executive Chairman Common Stock 1800000 I Shares held by 5 Elements Global Fund LP Common Stock 3800000 I Shares held by 5 Elements Energy Efficiency Ltd Stock Option 0.23 2013-04-29 4 A 0 400000 0 A 2013-05-29 2023-04-29 Common Stock 400000 3200000 D Warrant 0.54 2012-02-27 2015-02-27 Common Stock 900000 900000 I Warrants held by 5 Elements Global Fund LP Warrant 0.54 2012-02-27 2015-02-27 Common Stock 1900000 2800000 I Warrants held by 5 Elements Energy Efficiency Ltd James Tu is Founder, Chief Executive Officer and Chief Investment Officer of 5 Elements Global Advisors, which manages the 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 shared dispositive power over the shares. Date applies to 1/12th of the total, as options vest monthly over a twelve month period. /s/ James Tu 2013-05-01