<SEC-DOCUMENT>0000924168-22-000053.txt : 20220617
<SEC-HEADER>0000924168-22-000053.hdr.sgml : 20220617
<ACCEPTANCE-DATETIME>20220617081216
ACCESSION NUMBER:		0000924168-22-000053
CONFORMED SUBMISSION TYPE:	D
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		<ITEMS>06b
FILED AS OF DATE:		20220617
DATE AS OF CHANGE:		20220617
EFFECTIVENESS DATE:		20220617

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:			OH
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		D
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-449518
		FILM NUMBER:		221022435

	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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<SEQUENCE>1
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    <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>OHIO</jurisdictionOfInc>
        <edgarPreviousNameList>
            <previousName>FIBERSTARS INC /CA/</previousName>
        </edgarPreviousNameList>
        <entityType>Corporation</entityType>
        <yearOfInc>
            <overFiveYears>true</overFiveYears>
        </yearOfInc>
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    <relatedPersonsList>
        <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>Executive Officer</relationship>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>Chairman and Interim 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 Rd</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>
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        <relatedPersonInfo>
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                <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>Brian</firstName>
                <lastName>Lagarto</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Rd.</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>Jeff</firstName>
                <lastName>Parker</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Rd.</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>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>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Greg</firstName>
                <lastName>Galluccio</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>32000 Aurora Rd.</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>SVP Product Management and Engineering</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>2022-06-03</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>4th Floor</street2>
                    <city>New York City</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>
                </statesOfSolicitationList>
                <foreignSolicitation>false</foreignSolicitation>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>3499865</totalOfferingAmount>
            <totalAmountSold>3499865</totalAmountSold>
            <totalRemaining>0</totalRemaining>
            <clarificationOfResponse>Up to an additional $3,500,140.88 may be received upon the exercise of warrants issued in the offering, if any.</clarificationOfResponse>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
            <totalNumberAlreadyInvested>3</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>252000</dollarAmount>
                <isEstimate>true</isEstimate>
            </salesCommissions>
            <findersFees>
                <dollarAmount>0</dollarAmount>
                <isEstimate>true</isEstimate>
            </findersFees>
            <clarificationOfResponse>$252,000.21 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 intends to use the net proceeds from the offering for general corp. purposes, including retaining sufficient net proceeds so that the Company maintains compliance with the min. stockholders' equity requirement of The Nasdaq Stock Market.</clarificationOfResponse>
        </useOfProceeds>
        <signatureBlock>
            <authorizedRepresentative>false</authorizedRepresentative>
            <signature>
                <issuerName>ENERGY FOCUS, INC/DE</issuerName>
                <signatureName>Stephen Socolof</signatureName>
                <nameOfSigner>Stephen Socolof</nameOfSigner>
                <signatureTitle>Chairman &amp; Interim Chief Executive Officer</signatureTitle>
                <signatureDate>2022-06-17</signatureDate>
            </signature>
        </signatureBlock>
    </offeringData>
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</SEC-DOCUMENT>
