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ENERGY FOCUS, INC/DE — Director's Dealing 2012
Dec 21, 2012
35068_dirs_2012-12-21_e72affc0-66ee-4814-b4a9-224d978191f1.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2012-12-12
Reporting Person: Tu James (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1800000 | Indirect |
| Common Stock | 3800000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant | $0.54 | 2015-02-27 | Common Stock (900000) | Indirect | |
| Warranty | $0.54 | 2015-02-27 | Common Stock (1900000) | Indirect |
Footnotes
F1: James Tu is Founder, Chief Executive Officer and Chief Investment Officer of 5 Elements Global Fund.
F2: 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 power to dispose of the shares.
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