<SEC-DOCUMENT>0001104659-20-008694.txt : 20200130
<SEC-HEADER>0001104659-20-008694.hdr.sgml : 20200130
<ACCEPTANCE-DATETIME>20200130161120
ACCESSION NUMBER:		0001104659-20-008694
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200116
FILED AS OF DATE:		20200130
DATE AS OF CHANGE:		20200130

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:		20561502

	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:		20561503

	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:		20561504

	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:		20561505

	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:			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:		20561506

	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:			Fusion Park LLC
		CENTRAL INDEX KEY:			0001801344
		STATE OF INCORPORATION:			NV
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36583
		FILM NUMBER:		20561507

	BUSINESS ADDRESS:	
		STREET 1:		1 BRIDGE PLAZA NORTH
		STREET 2:		#275
		CITY:			FORT LEE
		STATE:			NJ
		ZIP:			07024
		BUSINESS PHONE:		(571) 246-3957

	MAIL ADDRESS:	
		STREET 1:		1 BRIDGE PLAZA NORTH
		STREET 2:		#275
		CITY:			FORT LEE
		STATE:			NJ
		ZIP:			07024

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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<TYPE>4
<SEQUENCE>1
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<DESCRIPTION>OWNERSHIP DOCUMENT
<TEXT>
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<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2020-01-16</periodOfReport>

    <notSubjectToSection16>0</notSubjectToSection16>

    <issuer>
        <issuerCik>0000924168</issuerCik>
        <issuerName>ENERGY FOCUS, INC/DE</issuerName>
        <issuerTradingSymbol>EFOI</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <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>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>1</isDirector>
            <isOfficer>1</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle>CEO &amp; Chairman</officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001600805</rptOwnerCik>
            <rptOwnerName>Huang Gina</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>3F-4, NO.9, MIN QUAN EAST ROAD</rptOwnerStreet1>
            <rptOwnerStreet2>SECTION 3 LANE 140 SONG SHAN DISTRICT</rptOwnerStreet2>
            <rptOwnerCity>TAIPEI CITY</rptOwnerCity>
            <rptOwnerState>F5</rptOwnerState>
            <rptOwnerZipCode>105</rptOwnerZipCode>
            <rptOwnerStateDescription>TAIWAN, PROVINCE OF CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>1</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001544485</rptOwnerCik>
            <rptOwnerName>Jag International Co Ltd.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>3F-4, NO.9, MIN QUAN EAST ROAD</rptOwnerStreet1>
            <rptOwnerStreet2>SECTION 3 LANE 140 SONG SHAN DISTRICT</rptOwnerStreet2>
            <rptOwnerCity>TAIPEI CITY</rptOwnerCity>
            <rptOwnerState>F5</rptOwnerState>
            <rptOwnerZipCode>105</rptOwnerZipCode>
            <rptOwnerStateDescription>TAIWAN, PROVINCE OF CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001600870</rptOwnerCik>
            <rptOwnerName>Brilliant Start Enterprise, Inc.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>3F-4, NO.9, MIN QUAN EAST ROAD</rptOwnerStreet1>
            <rptOwnerStreet2>SECTION 3 LANE 140 SONG SHAN DISTRICT</rptOwnerStreet2>
            <rptOwnerCity>TAIPEI CITY</rptOwnerCity>
            <rptOwnerState>F5</rptOwnerState>
            <rptOwnerZipCode>105</rptOwnerZipCode>
            <rptOwnerStateDescription>TAIWAN, PROVINCE OF CHINA</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <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>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001801344</rptOwnerCik>
            <rptOwnerName>Fusion Park LLC</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>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>Convertible Notes due 2021</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2020-01-16</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>C</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionTotalValue>
                    <value>1080000</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </transactionTotalValue>
                <transactionPricePerShare>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
            </exerciseDate>
            <expirationDate>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Series A Convertible Preferred Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <valueOwnedFollowingTransaction>
                    <value>1080000</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </valueOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnote</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </natureOfOwnership>
            </ownershipNature>
        </derivativeTransaction>
        <derivativeTransaction>
            <securityTitle>
                <value>Series A Convertible Preferred Stock</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <footnoteId id="F1"/>
                <footnoteId id="F2"/>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2020-01-16</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>C</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>1721023</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </transactionShares>
                <transactionPricePerShare>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F2"/>
            </exerciseDate>
            <expirationDate>
                <footnoteId id="F2"/>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>1721023</value>
                    <footnoteId id="F2"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>1721023</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnote</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                </natureOfOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">On March 29, 2019, the Issuer entered into a note purchase agreement (the &quot;Note Purchase Agreement&quot;) with certain investors, including Fusion Park LLC (of which James Tu is the sole member) and Brilliant Start Enterprise, Inc. (which is controlled by Gina Huang), for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes. Pursuant to the Note Purchase Agreement, Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively, in principal amount of the subordinated convertible promissory notes. The subordinated convertible promissory notes were amended on May 29, 2019 (as amended, the &quot;Notes&quot;).</footnote>
        <footnote id="F2">The Notes, which were issued on March 29, 2019, had a maturity date of December 31, 2021 and paid interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. Pursuant to their terms, on January 16, 2020 (the first business day after the Issuer's stockholders approved certain amendments to the Issuer's certificate of incorporation), the Notes (including the accumulated interest thereon) converted into the Issuer's Series A Convertible Preferred Stock (&quot;Series A Preferrred Stock) at a price of $0.67 per share. Upon the conversion of the Notes, Fusion Park and Brilliant Start received 924,253 shares and 796,770 shares, respectively, of Series A Preferred Stock. The Series A Preferred Stock is convertible into the Issuer's Common Stock one a one-for-one basis and has no expiration.</footnote>
    </footnotes>

    <remarks>On January 30, 2020, 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/ Gina Huang (Mei-Yun Huang)</signatureName>
        <signatureDate>2020-01-28</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>JAG INTERNATIONAL, LTD. By: /s/ Gina Huang (Mei-Yun Huang), General Partner</signatureName>
        <signatureDate>2020-01-28</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>BRILLIANT START ENTERPRISE, INC. By: /s/ Gina Huang (Mei-Yun Huang), General Partner</signatureName>
        <signatureDate>2020-01-28</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ James Tu</signatureName>
        <signatureDate>2020-01-27</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>5 ELEMENTS GLOBAL FUND L.P. By: /s/ James Tu, Managing Partner</signatureName>
        <signatureDate>2020-01-27</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>FUSION PARK LLC By: /s/ James Tu, Managing Member</signatureName>
        <signatureDate>2020-01-27</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</SEC-DOCUMENT>
