ENERGY FOCUS, INC/DE — Director's Dealing 2013

May 1, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2013-04-29

Reporting Person: Tu James (Director, Executive Chairman, 10% Owner)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-04-29	Stock Option	$0.23	A	400000	Acquired	2023-04-29	Common Stock (400000)	Direct

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)	900000	Indirect
Warrant	$0.54	2015-02-27	Common Stock (1900000)	2800000	Indirect

Footnotes

F1: James Tu is Founder, Chief Executive Officer and Chief Investment Officer of 5 Elements Global Advisors, which manages the 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 shared dispositive power over the shares.

F3: Date applies to 1/12th of the total, as options vest monthly over a twelve month period.