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ENERGY FOCUS, INC/DE — Director's Dealing 2014
May 30, 2014
35068_dirs_2014-05-30_51bb6de2-3808-4739-b212-2e414b47a6a1.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: 2012-02-27
Reporting Person: Huang Gina (10% Owner)
Reporting Person: Brilliant Start Enterprise, Inc. (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4000000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants to purchase Common Stock | $0.4300 | 2015-02-27 | Common Stock (2000000) | Indirect | |
| Convertible Subordinated Note | $0.2300 | 2015-12-31 | Common Stock (4347826) | Indirect |
Footnotes
F1: Ms. Huang is the sole owner of Jag International Ltd.
F2: Ms. Huang is the Chairman of Brilliant Start Enterprise, Inc.
F3: Warrant was originally issued at $0.54/share; however, was re-priced per the terms of the warrant to $0.43/share.
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