<SEC-DOCUMENT>0000924168-21-000064.txt : 20211228
<SEC-HEADER>0000924168-21-000064.hdr.sgml : 20211228
<ACCEPTANCE-DATETIME>20211228095643
ACCESSION NUMBER:		0000924168-21-000064
CONFORMED SUBMISSION TYPE:	D
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		<ITEMS>06b
FILED AS OF DATE:		20211228
DATE AS OF CHANGE:		20211228
EFFECTIVENESS DATE:		20211228

FILER:

	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

	FILING VALUES:
		FORM TYPE:		D
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-426900
		FILM NUMBER:		211522429

	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>
<DOCUMENT>
<TYPE>D
<SEQUENCE>1
<FILENAME>primary_doc.xml
<TEXT>
<XML>
<?xml version="1.0"?>
<edgarSubmission>

    <schemaVersion>X0708</schemaVersion>

    <submissionType>D</submissionType>

    <testOrLive>LIVE</testOrLive>

    <primaryIssuer>
        <cik>0000924168</cik>
        <entityName>ENERGY FOCUS, INC/DE</entityName>
        <issuerAddress>
            <street1>32000 AURORA ROAD</street1>
            <street2>SUITE B</street2>
            <city>SOLON</city>
            <stateOrCountry>OH</stateOrCountry>
            <stateOrCountryDescription>OHIO</stateOrCountryDescription>
            <zipCode>44139</zipCode>
        </issuerAddress>
        <issuerPhoneNumber>4407151300</issuerPhoneNumber>
        <jurisdictionOfInc>DELAWARE</jurisdictionOfInc>
        <edgarPreviousNameList>
            <previousName>FIBERSTARS INC /CA/</previousName>
        </edgarPreviousNameList>
        <entityType>Corporation</entityType>
        <yearOfInc>
            <overFiveYears>true</overFiveYears>
        </yearOfInc>
    </primaryIssuer>

    <relatedPersonsList>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>James</firstName>
                <lastName>Tu</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Road</street1>
                <street2>Suite B</street2>
                <city>Solon</city>
                <stateOrCountry>OH</stateOrCountry>
                <stateOrCountryDescription>OHIO</stateOrCountryDescription>
                <zipCode>44139</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Executive Chairman and Chief Executive Officer and Director</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Jennifer</firstName>
                <lastName>Cheng</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Road</street1>
                <street2>Suite B</street2>
                <city>Solon</city>
                <stateOrCountry>OH</stateOrCountry>
                <stateOrCountryDescription>OHIO</stateOrCountryDescription>
                <zipCode>44139</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Gina</firstName>
                <lastName>Huang</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Road</street1>
                <street2>Suite B</street2>
                <city>Solon</city>
                <stateOrCountry>OH</stateOrCountry>
                <stateOrCountryDescription>OHIO</stateOrCountryDescription>
                <zipCode>44139</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Phillip</firstName>
                <lastName>Politziner</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Road</street1>
                <street2>Suite B</street2>
                <city>Solon</city>
                <stateOrCountry>OH</stateOrCountry>
                <stateOrCountryDescription>OHIO</stateOrCountryDescription>
                <zipCode>44139</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Stephen</firstName>
                <lastName>Socolof</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Road</street1>
                <street2>Suite B</street2>
                <city>Solon</city>
                <stateOrCountry>OH</stateOrCountry>
                <stateOrCountryDescription>OHIO</stateOrCountryDescription>
                <zipCode>44139</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Tod</firstName>
                <lastName>Nestor</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Road</street1>
                <street2>Suite B</street2>
                <city>Solon</city>
                <stateOrCountry>OH</stateOrCountry>
                <stateOrCountryDescription>OHIO</stateOrCountryDescription>
                <zipCode>44139</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Chief Operating Officer and Chief Financial Officer</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>James</firstName>
                <lastName>Warren</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Road</street1>
                <street2>Suite B</street2>
                <city>Solon</city>
                <stateOrCountry>OH</stateOrCountry>
                <stateOrCountryDescription>OHIO</stateOrCountryDescription>
                <zipCode>44139</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Senior Vice President and General Counsel</relationshipClarification>
        </relatedPersonInfo>
    </relatedPersonsList>

    <offeringData>
        <industryGroup>
            <industryGroupType>Manufacturing</industryGroupType>
        </industryGroup>
        <issuerSize>
            <revenueRange>$5,000,001 - $25,000,000</revenueRange>
        </issuerSize>
        <federalExemptionsExclusions>
            <item>06b</item>
        </federalExemptionsExclusions>
        <typeOfFiling>
            <newOrAmendment>
                <isAmendment>false</isAmendment>
            </newOrAmendment>
            <dateOfFirstSale>
                <value>2021-12-13</value>
            </dateOfFirstSale>
        </typeOfFiling>
        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
        </durationOfOffering>
        <typesOfSecuritiesOffered>
            <isEquityType>true</isEquityType>
            <isOptionToAcquireType>true</isOptionToAcquireType>
            <isSecurityToBeAcquiredType>true</isSecurityToBeAcquiredType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
            <clarificationOfResponse></clarificationOfResponse>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>0</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>H.C. Wainwright &amp; Co., LLC</recipientName>
                <recipientCRDNumber>375</recipientCRDNumber>
                <associatedBDName>None</associatedBDName>
                <associatedBDCRDNumber>None</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>430 Park Avenue</street1>
                    <street2>3rd Floor</street2>
                    <city>New York</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <stateOrCountryDescription>NEW YORK</stateOrCountryDescription>
                    <zipCode>10022</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>IL</state>
                    <description>ILLINOIS</description>
                    <state>NV</state>
                    <description>NEVADA</description>
                    <state>NY</state>
                    <description>NEW YORK</description>
                    <state>NJ</state>
                    <description>NEW JERSEY</description>
                </statesOfSolicitationList>
                <foreignSolicitation>false</foreignSolicitation>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>4500005</totalOfferingAmount>
            <totalAmountSold>4500005</totalAmountSold>
            <totalRemaining>0</totalRemaining>
            <clarificationOfResponse>Up to an additional $4,500,022.29 may be received upon the exercise of warrants issued in the offering, if any.</clarificationOfResponse>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
            <totalNumberAlreadyInvested>7</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>360000</dollarAmount>
                <isEstimate>true</isEstimate>
            </salesCommissions>
            <findersFees>
                <dollarAmount>0</dollarAmount>
                <isEstimate>true</isEstimate>
            </findersFees>
            <clarificationOfResponse>$360,001.10 cash fee was paid to H.C. Wainwright &amp; Co., LLC as placement agent fee and certain additional offering expenses.</clarificationOfResponse>
        </salesCommissionsFindersFees>
        <useOfProceeds>
            <grossProceedsUsed>
                <dollarAmount>0</dollarAmount>
            </grossProceedsUsed>
            <clarificationOfResponse>The Company currently intends to use the net proceeds from the offering for general corporate purposes, and may use up to 50% of the net proceeds from the offering to reduce the balance of an outstanding promissory note issued to an unrelated third party.</clarificationOfResponse>
        </useOfProceeds>
        <signatureBlock>
            <authorizedRepresentative>false</authorizedRepresentative>
            <signature>
                <issuerName>ENERGY FOCUS, INC/DE</issuerName>
                <signatureName>/s/ Tod A. Nestor</signatureName>
                <nameOfSigner>Tod A. Nestor</nameOfSigner>
                <signatureTitle>Chief Operating Officer and Chief Financial Officer</signatureTitle>
                <signatureDate>2021-12-28</signatureDate>
            </signature>
        </signatureBlock>
    </offeringData>
</edgarSubmission>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
