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

Reporting relationship: Chairman and CEO, Director, 10%+ Owner
Issuer ticker: EFOI
Reported as of: 16 Aug 2021
Net transaction value: +$13,500
SEC form: 4
Accepted by SEC: 18 Aug 2021, 16:18:49 UTC
Next SEC filing: 19 Aug 2025
Source filing: View source filing
Reporting owner signature: /s/ James Tu

Key filing fact

James Tu filed Form 4 for ENERGY FOCUS, INC/DE (EFOI) on 18 Aug 2021.

Key facts

This page summarizes James Tu's Form 4 filing for ENERGY FOCUS, INC/DE (EFOI).
1 reported transaction and 0 derivative rows are listed below.
Accepted by SEC: 18 Aug 2021, 16:18.

Change

No earlier filing in this sequence is available for direct comparison.
Current net transaction value: +$13,500.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

EFOI transaction

Common Stock

Purchase

Transaction value: $13,500
Shares: +5,000
Change %: +2%
Price: $2.70
Shares after: 249,851
Date: 16 Aug 2021
Ownership: Direct
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 1 footnote

Footnote 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.

SEC 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.