ENERGY FOCUS, INC/DE — Director's Dealing 2021

May 27, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ENERGY FOCUS, INC/DE (EFOI)
CIK: 0000924168
Period of Report: 2021-05-26

Reporting Person: Huang Gina (Director, 10% Owner)
Reporting Person: Jag International Co Ltd. (10% Owner)
Reporting Person: Brilliant Start Enterprise, Inc. (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-05-26	Common Stock	M	10000	—	Acquired	376832	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-05-26	Restricted Stock Units	$	M	10000	Disposed		Common Stock (10000.0)	Direct

Footnotes

F1: Restricted stock units convert into Common Stock on a one-for-one basis.

F2: Consists of 242,832 shares of common stock held by Brilliant Start Enterprise, Inc. ("Brilliant Start"), 120,000 shares of common stock held by Jag International Ltd. ("Jag") and 14,000 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.

F3: On March 24, 2021, Ms. Huang was granted 10,000 restricted stock units that vested May 26, 2021, the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F4: The restricted stock units were held directly by Ms. Huang.