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