IPO registrations (S-1, F-1) · Registrants
ENERGY FOCUS, INC/DE
- SEC CIK
- 924168 · filings on EDGAR ↗
- Former names
- FIBERSTARS INC /CA/ (1996–2007)
- Registration
- Form S-1, first filed 2004-05-27, last 2020-04-09; 6 initial registrations, 6 amendments
- Outcome
- Final prospectus filed 2005-11-03; declared effective 2007-09-28; withdrawal requested 2012-08-02
- Industry (SIC)
- Electric Lighting & Wiring Equipment 3640
- Incorporated in
- OH
- Business address
- 32000 AURORA ROAD, SUITE B, Solon, OH 44139
- EIN
- 94-3021850
- Ticker
- EFOI (Nasdaq)
- EDGAR entity type
- operating
- Insiders and CEO pay
- ENERGY FOCUS, INC/DE on the corporate pages
On this site
- Business registration: FIBERSTARS, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: FIBERSTARS, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: FIBERSTARS OF CALIFORNIA, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Form 5500 plan sponsor: ENERGY FOCUS, INC. EXACT (EIN (EXACT))
- Form D issuer: ENERGY FOCUS, INC/DE EXACT (CIK (EXACT))
- SEC filer: ENERGY FOCUS, INC/DE EXACT (CIK (EXACT))
Filings 31
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2004-05-27 | S-1 | S-1 (registration) | FIBERSTARS INC /CA/ | 0001144204-04-007707 ↗ |
| 2005-11-03 | 424B4 | 424B4 (final prospectus) | FIBERSTARS INC /CA/ | 0001047469-05-026104 ↗ |
| 2007-09-28 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-07-003840 ↗ |
| 2008-05-29 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-08-001725 ↗ |
| 2009-09-04 | S-1 | S-1 (registration) | ENERGY FOCUS, INC/DE | 0000950123-09-041356 ↗ |
| 2009-10-01 | S-1/A | S-1/A (amendment) | ENERGY FOCUS, INC/DE | 0000950123-09-047726 ↗ |
| 2009-10-06 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-09-002778 ↗ |
| 2010-05-28 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-10-001667 ↗ |
| 2010-07-14 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-10-002143 ↗ |
| 2011-05-11 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-11-001489 ↗ |
| 2012-08-02 | RW | RW (withdrawal request) | ENERGY FOCUS, INC/DE | 0001437749-12-007571 ↗ |
| 2012-08-03 | S-1 | S-1 (registration) | ENERGY FOCUS, INC/DE | 0001437749-12-007694 ↗ |
| 2012-08-09 | S-1/A | S-1/A (amendment) | ENERGY FOCUS, INC/DE | 0001437749-12-008025 ↗ |
| 2012-08-13 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-12-002486 ↗ |
| 2013-12-16 | S-1 | S-1 (registration) | ENERGY FOCUS, INC/DE | 0001437749-13-016080 ↗ |
| 2013-12-23 | S-1/A | S-1/A (amendment) | ENERGY FOCUS, INC/DE | 0001437749-13-016354 ↗ |
| 2013-12-30 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-13-003713 ↗ |
| 2014-05-21 | S-1 | S-1 (registration) | ENERGY FOCUS, INC/DE | 0001437749-14-009663 ↗ |
| 2014-07-22 | S-1/A | S-1/A (amendment) | ENERGY FOCUS, INC/DE | 0001437749-14-013095 ↗ |
| 2014-07-25 | S-1/A | S-1/A (amendment) | ENERGY FOCUS, INC/DE | 0001437749-14-013365 ↗ |
| 2014-08-04 | S-1/A | S-1/A (amendment) | ENERGY FOCUS, INC/DE | 0001437749-14-014130 ↗ |
| 2014-08-05 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-14-002385 ↗ |
| 2014-08-06 | 424B1 | 424B1 (final prospectus) | ENERGY FOCUS, INC/DE | 0001437749-14-014419 ↗ |
| 2014-08-28 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-14-002631 ↗ |
| 2015-02-05 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-15-000309 ↗ |
| 2015-12-28 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-15-003410 ↗ |
| 2018-12-04 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-18-003038 ↗ |
| 2020-04-09 | S-1 | S-1 (registration) | ENERGY FOCUS, INC/DE | 0000924168-20-000017 ↗ |
| 2020-04-16 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-20-000778 ↗ |
| 2022-01-07 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-22-000092 ↗ |
| 2022-01-07 | EFFECT | EFFECT (declared effective) | ENERGY FOCUS, INC/DE | 9999999995-22-000093 ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| des Enfants Edward W | Officer | Vice President; VICE PRESIDENT SALES | 4 | 2006 | |
| RUCKERT DAVID N | Director | 5 | 2006–2009 | ||
| WOLFSON PHILIP | Director | 10 | 2006–2009 | ||
| BRITE JEFFREY H | Director | 1 | 2006 | ||
| Casentini Ronald A | Director | 4 | 2006–2008 | ||
| CONNORS ROBERT A | Officer | CHIEF FINANCIAL OFFICER | 1 | 2006 | |
| Kasper Michael A | Director | 6 | 2006–2010 | ||
| STUPPIN JOHN B | Director | 4 | 2006–2008 | ||
| von Paumgartten Paul | Director | 7 | 2006–2012 | ||
| Hilliard Eric | Officer | Chief Executive Officer; Chief Operating Officer; CHIEF OPERATIONAL OFFICER; President and COO; President & COO; See remarks | 23 | 2006–2016 | |
| DAVENPORT JOHN | Director; Director,Officer; Officer | C.E.O.; President; President and CEO | 18 | 2007–2015 | |
| GREENWALD BARRY R | Officer | Senior VP Pool & Spa Division | 2 | 2007 | |
| BERCHTOLD NICHOLAS G | Officer | Chief Financial Officer; Former Chief Financial Officer; VP, Finance and CFO | 12 | 2007–2011 | |
| BUELOW ROGER | Officer | Chief Technology Officer; VP and Chief Technology Office; VP & Chief Technology Officer | 11 | 2008–2013 | |
| Gelbaum David | Director,TenPercentOwner; Director,TenPercentOwnerOther; Other; TenPercentOwner; TenPercentOwnerOther | 46 | 2008–2012 | ||
| Gelbaum Monica Chavez | TenPercentOwner; TenPercentOwnerOther | 46 | 2008–2012 | ||
| Quercus Trust | TenPercentOwner | 46 | 2008–2012 | ||
| KAVESKI JOSEPH G. | Director,Officer | Chief Executive Officer | 14 | 2008–2013 | |
| Goddard Laurence V | Director | 2 | 2008–2009 | ||
| FINNERTY J JAMES | Director | 7 | 2008–2013 | ||
| DIKER MANAGEMENT LLC | Other; TenPercentOwner | 3 | 2009–2010 | ||
| SCHNEEBERGER R LOUIS | Director | 5 | 2009–2012 | ||
| Wilson Robert Jr. | Other | 1 | 2010 | ||
| Anthony David | Director | 3 | 2010 | ||
| PLUSH MARK J | Officer | Chief Financial Officer; Chief Financial Officer and VP | 4 | 2011–2013 | |
| Cheng Jennifer Y | Director | 14 | 2012–2022 | ||
| Cheng Simon | Director | 5 | 2012–2016 | ||
| Tu James | Director; Director,Officer; Director,Officer,TenPercentOwner; Other | CEO & Chairman; CEO, President and Interim CFO; Chairman and CEO; Executive Chairman; Executive Chairman and CEO; Executive Chairman & CEO | 17 | 2012–2021 | |
| Lamanna Frank | Officer | Chief Financial Officer | 3 | 2013–2014 | |
| Jag International Co Ltd. | Other; TenPercentOwner | 9 | 2013–2022 | ||
| 5 Elements Energy Efficiency Ltd. | Other; TenPercentOwner | 3 | 2013–2019 | ||
| Cohen William | Director; Director,TenPercentOwner; TenPercentOwner | 10 | 2013–2018 | ||
| Costar Partners II, LLC | TenPercentOwner | 3 | 2013–2014 | ||
| Bright Horizon Partners Inc. | TenPercentOwner | 4 | 2013–2015 | ||
| Ramelot Michael Rush | Director | 10 | 2013–2019 | ||
| Bi Cheng | TenPercentOwner | 1 | 2013 | ||
| Luo Jiangang | Director; Director,TenPercentOwner; Other; TenPercentOwner | 10 | 2013–2019 | ||
| McAuliffe Thomas P. | Officer | Sr. VP of Business Development | 2 | 2013 | |
| Matrisciano Theresa A. | Officer | VP of Human Resources | 4 | 2013–2015 | |
| Cleantech Global Ltd | Other; TenPercentOwner | 4 | 2014–2019 | ||
| SWIDARSKI THOMAS W | Director | 2 | 2014 | ||
| Brilliant Start Enterprise, Inc. | Other; TenPercentOwner | 9 | 2014–2022 | ||
| Huang Gina | Director,TenPercentOwner; Other; TenPercentOwner | 22 | 2014–2023 | ||
| He Xin | Director | 2 | 2014 | ||
| Miller Marcia Jean | Officer | Chief Financial Officer; Interim CFO | 6 | 2015–2016 | |
| BLACK RONALD D | Director | 7 | 2015–2018 | ||
| Dorchak Glenda | Director | 7 | 2015–2018 | ||
| Eisenberg Marc | Director | 7 | 2015–2018 | ||
| Port Michael Harry | Officer | CFO & Secretary; Interim CFO | 11 | 2016–2018 | |
| Tewksbury Ted L III | Director,Officer | Chairman, CEO & President; Executive Chairman | 9 | 2016–2019 | |
| White Bradley Brian | Officer | CFO & Secretary | 3 | 2016–2017 | |
| RISHI SATISH | Director | 3 | 2018 | ||
| Turin Jerry | Officer | CFO and Secretary | 3 | 2018–2019 | |
| 5 ELEMENTS GLOBAL FUND, LP | Other; TenPercentOwner | 4 | 2018–2021 | ||
| Cheng Yeh Mei-Hui | Other; TenPercentOwner | 2 | 2018–2019 | ||
| Communal International, Ltd. | Other; TenPercentOwner | 2 | 2018–2019 | ||
| McManus Geraldine | Director | 8 | 2019–2021 | ||
| Farkas Robert A. | Director | 2 | 2019 | ||
| Socolof Stephen | Director; Director,Officer | Chairman and Interim CEO; Interim CEO | 11 | 2019–2022 | |
| NESTOR TOD A | Officer | COO and CFO; President, CFO | 7 | 2019–2022 | |
| Politziner Philip | Director | 10 | 2019–2022 | ||
| Fusion Park LLC | TenPercentOwner | 2 | 2020–2021 | ||
| Warren James Raymond III | Officer | SVP, GC & Corp. Secretary | 7 | 2020–2023 | |
| Galluccio Gregory S | Officer | Sr. VP, Product Mgmt & Engin. | 2 | 2022 | |
| Lagarto Brian J | Director | 3 | 2022 | ||
| Parker Jeffery Robert | Director | 3 | 2022 | ||
| Griffin Clifford R. | Officer | SVP, Corp. Controller & CAO | 2 | 2022 | |
| Matt Lesley A. | Officer | Chief Executive Officer | 3 | 2022–2023 | |
| den Daas Kaj | Director | 2 | 2022 | ||
| Chang Wen-Jeng | Director | 1 | 2023 | ||
| Huang Chiao Chieh | Director,Officer,TenPercentOwner; Director,TenPercentOwner | Chief Executive Officer | 6 | 2023–2025 | |
| Gianas Randy Harrison | Officer | VP Operations & Engineering | 2 | 2023 | |
| Lee Shou-Jang | Director | 1 | 2023 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2022-06-17 | ENERGY FOCUS, INC/DE | Manufacturing | $3,499,865 | $3,499,865 | 3 | 1 |
| 2021-12-28 | ENERGY FOCUS, INC/DE | Manufacturing | $4,500,005 | $4,500,005 | 7 | 1 |
| 2020-01-28 | ENERGY FOCUS, INC/DE | Manufacturing | $2,750,000 | $430,225 | 9 | 1 |
| 2019-04-04 | ENERGY FOCUS, INC/DE | Manufacturing | $1,700,000 | $1,700,000 | 5 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.