James Tu - Aug 16, 2021 Form 4 Insider Report for ENERGY FOCUS, INC/DE (EFOI)

Role
Chairman and CEO, Director, 10%+ Owner
Signature
/s/ James Tu
Stock symbol
EFOI
Transactions as of
Aug 16, 2021
Transactions value $
$13,500
Form type
4
Date filed
8/18/2021, 04:18 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFOI Common Stock Purchase $13.5K +5K +2.04% $2.70 250K Aug 16, 2021 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.

Remarks:

The reporting person may be deemed to be a member of a group, which in the aggregate beneficially owns in excess of 10% of the Issuer's common stock.