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ENERGY FOCUS, INC/DE — Director's Dealing 2021
Aug 18, 2021
35068_dirs_2021-08-18_e6b45cf8-2e94-40ca-b8b8-60b03b6beb72.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2021-08-16
Reporting Person: Tu James (Director, Chairman and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-16 | Common Stock | P | 5000 | $2.70 | Acquired | 249851 | Direct |
Footnotes
F1: Mr. Tu directly owns 5,000 shares and has shared voting and dispositive power over 60,000 shares of common stock held by 5 Elements Global Fund L.P. ("Global Fund") and 184,851 shares of common stock held by Fusion Park LLC ("Fusion Park"). Global Fund and Fusion Park are controlled affiliates of Mr. Tu.
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