ENERGY FOCUS, INC/DE — Director's Dealing 2018

Dec 10, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2018-11-30

Reporting Person: Tu James (Member of 10% owner group)
Reporting Person: Huang Gina (Member of 10% owner group)
Reporting Person: Jag International Co Ltd. (Member of 10% owner group)
Reporting Person: Brilliant Start Enterprise, Inc. (Member of 10% owner group)
Reporting Person: Luo Jiangang (Member of 10% owner group)
Reporting Person: Cleantech Global Ltd (Member of 10% owner group)
Reporting Person: 5 ELEMENTS GLOBAL FUND, LP (Member of 10% owner group)
Reporting Person: Cheng Yeh Mei-Hui (Member of 10% owner group)
Reporting Person: Communal International, Ltd. (Member of 10% owner group)
Reporting Person: 5 Elements Energy Efficiency Ltd. (Member of 10% owner group)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, par value $0.0001 per share ("Common Stock")	1167390	Indirect
Common Stock	519565	Indirect
Common Stock	2502	Direct
Common Stock	437391	Indirect

Footnotes

F1: These securities are indirectly beneficially owned by Gina Huang and are directly held as follows: (a) 600,000 shares of Common Stock by Jag International, Ltd., a British Virgin Islands entity ("Jag"), (b) 417,390 shares of Common Stock by Brilliant Start Enterprise, Inc., a British Virgin Islands entity ("Brilliant Start"), and (c) 150,000 shares of Common Stock by 5 Elements Global Fund L.P., a Delaware limited partnership ("Global Fund"). Ms. Huang is the sole owner of each of Jag and Brilliant Start, and has a pecuniary interest in 50% of the 300,000 shares of Common Stock held by Global Fund.

F2: Mr. Tu is the Managing Partner of Global Fund and does not beneficially own any securities required to be reported on this Form 3.

F3: These securities are directly held by Cleantech Global Ltd. a British Virgin Islands entity ("Cleantech"), and indirectly beneficially owned by Jiangang Luo, who is the Managing Partner of Cleantech. Mr. Luo beneficially owns 5% of the shares of Common Stock held by Cleantech.

F4: These securities are owned solely by Jiangang Luo.

F5: These securities are indirectly beneficially owned by Yeh Mei-Hui Cheng and are directly held as follows: (a) 150,000 shares of Common Stock by Global Fund and (b) 287,391 by 5 Elements Energy Efficiency Limited, a British Virgin Islands entity ("Energy Efficiency"), which is owned 50% by Ms. Cheng and 50% by Communal International, Ltd. ("Communal"). Each of James Tu and Ms. Cheng is a Co-Founder and 50% owner of Communal. Ms. Cheng is the general partner and controlling partner of Energy Efficiency and has a pecuniary interest in all the shares of Common Stock held by Energy Efficiency. In addition, Ms. Cheng has a pecuniary interest in 50% of the 300,000 shares of Common Stock held by Global Fund.