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Huang Gina, et al. – ‘4’ for 9/17/20 re: Energy Focus, Inc./DE

On:  Thursday, 9/17/20, at 4:34pm ET   ·   For:  9/17/20   ·   Accession #:  1600805-20-13   ·   File #:  1-36583

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer

 9/17/20  Huang Gina                        4                      1:9K   Energy Focus, Inc./DE
          Jag International Co. Ltd.
          Brilliant Start Enterprise, Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider --                                      
                wf-form4_160037487335874.xml/3.6                                 




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider — wf-form4_160037487335874.xml/3.6
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Huang Gina

(Last)(First)(Middle)
32000 AURORA ROAD
SUITE B

(Street)
SOLONOH44139

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
ENERGY FOCUS, INC/DE [ EFOI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirectorX10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
9/17/20
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 9/17/20 M 4,000A$0 (1)207,478ISee footnote (2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units (1) 9/17/20 M 4,000 (3) (3)Common Stock4,000$00D (4)
1. Name and Address of Reporting Person*
Huang Gina

(Last)(First)(Middle)
32000 AURORA ROAD
SUITE B

(Street)
SOLONOH44139

(City)(State)(Zip)
1. Name and Address of Reporting Person*
Jag International Co Ltd.

(Last)(First)(Middle)
3F-4, NO.9, MIN QUAN EAST ROAD
SECTION 3 LANE 140 SONG SHAN DISTRICT

(Street)
TAIPEI CITYF5105

(City)(State)(Zip)
1. Name and Address of Reporting Person*
Brilliant Start Enterprise, Inc.

(Last)(First)(Middle)
3F-4, NO.9, MIN QUAN EAST ROAD
SECTION 3 LANE 140 SONG SHAN DISTRICT

(Street)
TAIPEI CITYF5105

(City)(State)(Zip)
Explanation of Responses:
(1)  Restricted stock units convert into Common Stock on a one-for-one basis.
(2)  Consists of 83,478 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 4,000 shares held by Ms. Huang directly. Brilliant Start and Jag are controlled affiliates of Ms. Huang.
(3)  On March 18, 2020, the reporting person Ms. Huang was granted 4,000 restricted stock units that vested September 17, 2020, the date of the Company's annual meeting of stockholders.
(4)  The restricted stock units were held directly by Ms. Huang.
Remarks:
/s/ Gina Huang (Mei-Yun Huang) 9/17/20
Jag International Ltd. By: /s/ Gina Huang (Mei-Yun Huang), General Partner 9/17/20
Brilliant Start Enterprise, Inc. By: /s/ Gina Huan (Mei-Yun Huang), General Partner 9/17/20
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

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