<SEC-DOCUMENT>0001144204-19-018014.txt : 20190403
<SEC-HEADER>0001144204-19-018014.hdr.sgml : 20190403
<ACCEPTANCE-DATETIME>20190403162856
ACCESSION NUMBER:		0001144204-19-018014
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20190329
FILED AS OF DATE:		20190403
DATE AS OF CHANGE:		20190403

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:	001-36583
		FILM NUMBER:		19729347

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729348

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729349

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729350

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729351

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729352

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729353

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729354

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729355

	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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		19729356

	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
</SEC-HEADER>
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        <reportingOwnerId>
            <rptOwnerCik>0001564957</rptOwnerCik>
            <rptOwnerName>Tu James</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1 BRIDGE PLAZA NORTH, #275</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>FORT LEE</rptOwnerCity>
            <rptOwnerState>NJ</rptOwnerState>
            <rptOwnerZipCode>07024</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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            <otherText></otherText>
        </reportingOwnerRelationship>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001600805</rptOwnerCik>
            <rptOwnerName>Huang Gina</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3</rptOwnerStreet1>
            <rptOwnerStreet2>LANE 140 SONG SHAN DISTRICT</rptOwnerStreet2>
            <rptOwnerCity>TAIPEI CITY</rptOwnerCity>
            <rptOwnerState>F5</rptOwnerState>
            <rptOwnerZipCode>105</rptOwnerZipCode>
            <rptOwnerStateDescription>TAIWAN, PROVINCE OF CHINA</rptOwnerStateDescription>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001544485</rptOwnerCik>
            <rptOwnerName>Jag International Co Ltd.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3</rptOwnerStreet1>
            <rptOwnerStreet2>LANE 140 SONG SHAN DISTRICT</rptOwnerStreet2>
            <rptOwnerCity>TAIPEI CITY</rptOwnerCity>
            <rptOwnerState>F5</rptOwnerState>
            <rptOwnerZipCode>105</rptOwnerZipCode>
            <rptOwnerStateDescription>TAIWAN, PROVINCE OF CHINA</rptOwnerStateDescription>
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    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001600870</rptOwnerCik>
            <rptOwnerName>Brilliant Start Enterprise, Inc.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3</rptOwnerStreet1>
            <rptOwnerStreet2>LANE 140 SONG SHAN DISTRICT</rptOwnerStreet2>
            <rptOwnerCity>TAIPEI CITY</rptOwnerCity>
            <rptOwnerState>F5</rptOwnerState>
            <rptOwnerZipCode>105</rptOwnerZipCode>
            <rptOwnerStateDescription>TAIWAN, PROVINCE OF CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001588515</rptOwnerCik>
            <rptOwnerName>Luo Jiangang</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>18 MICHELLE WAY</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>PINE BROOK</rptOwnerCity>
            <rptOwnerState>NJ</rptOwnerState>
            <rptOwnerZipCode>07058</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001588566</rptOwnerCik>
            <rptOwnerName>Cleantech Global Ltd</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>ONE OFFSHORE INCORPORATION</rptOwnerStreet1>
            <rptOwnerStreet2>CENTRE ROAD TOWN</rptOwnerStreet2>
            <rptOwnerCity>TORTOLA</rptOwnerCity>
            <rptOwnerState>D8</rptOwnerState>
            <rptOwnerZipCode></rptOwnerZipCode>
            <rptOwnerStateDescription>VIRGIN ISLANDS, BRITISH</rptOwnerStateDescription>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001480824</rptOwnerCik>
            <rptOwnerName>5 ELEMENTS GLOBAL FUND, LP</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1 BRIDGE PLAZA NORTH, #275</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>FORT LEE</rptOwnerCity>
            <rptOwnerState>NJ</rptOwnerState>
            <rptOwnerZipCode>07024</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
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        </reportingOwnerRelationship>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001761139</rptOwnerCik>
            <rptOwnerName>Cheng Yeh Mei-Hui</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>SEA MEADOW HOUSE, BLACKBURNE HIGHWAY,</rptOwnerStreet1>
            <rptOwnerStreet2>P.O. BOX 116 ROAD TOWN</rptOwnerStreet2>
            <rptOwnerCity>TORTOLA</rptOwnerCity>
            <rptOwnerState>D8</rptOwnerState>
            <rptOwnerZipCode></rptOwnerZipCode>
            <rptOwnerStateDescription>VIRGIN ISLANDS, BRITISH</rptOwnerStateDescription>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001761130</rptOwnerCik>
            <rptOwnerName>Communal International, Ltd.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>1 BRIDGE PLAZA NORTH, #275</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>FORT LEE</rptOwnerCity>
            <rptOwnerState>NJ</rptOwnerState>
            <rptOwnerZipCode>07024</rptOwnerZipCode>
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        </reportingOwnerRelationship>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001544460</rptOwnerCik>
            <rptOwnerName>5 Elements Energy Efficiency Ltd.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>17F, NO.87, SUNG CHIANG ROAD</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>TAIPEI</rptOwnerCity>
            <rptOwnerState>F5</rptOwnerState>
            <rptOwnerZipCode>104</rptOwnerZipCode>
            <rptOwnerStateDescription>TAIWAN, PROVINCE OF CHINA</rptOwnerStateDescription>
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        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
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            <otherText></otherText>
        </reportingOwnerRelationship>
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    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>Convertible Notes due 2021</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
                <footnoteId id="F3"/>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2019-03-29</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>P</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
                <footnoteId id="F3"/>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionTotalValue>
                    <value>1080000</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </transactionTotalValue>
                <transactionPricePerShare>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
                <footnoteId id="F3"/>
            </exerciseDate>
            <expirationDate>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
                <footnoteId id="F3"/>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Series A Convertible Preferred Stock</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <valueOwnedFollowingTransaction>
                    <value>1080000</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </valueOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See Footnote</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </natureOfOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC (&quot;Fusion Park&quot;) (of which James Tu is the sole member), F&amp;S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. (&quot;Brilliant Start&quot;), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the &quot;Notes&quot;) of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the &quot;Series A Preferred Stock&quot;) on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the &quot;Nasdaq Cap&quot;)</footnote>
        <footnote id="F2">(cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the &quot;Charter&quot;), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock (&quot;Common Stock&quot;) measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the &quot;Conversion Rate&quot;). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,</footnote>
        <footnote id="F3">(cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.</footnote>
    </footnotes>

    <remarks>On November 30, 2018, the Reporting Persons filed a Schedule 13D reporting that they may be deemed to be a &quot;group&quot; under Section 13(d)(3) of the Exchange Act of 1934, as amended, and Rule 13d-5 promulgated thereunder. Because the aggregate holdings of the &quot;group&quot; exceed 10% of the Common Stock outstanding, each Reporting Person is deemed to be a 10% owner.</remarks>

    <ownerSignature>
        <signatureName>/s/ James Tu</signatureName>
        <signatureDate>2019-04-02</signatureDate>
    </ownerSignature>

    <ownerSignature>
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