Form D · Manufacturing
ENERGY FOCUS, INC/DE
Solon, OH · CIK 0000924168
Offering snapshot reported Jun 17, 2022 · SEC filing
- Reported sold
- $3.5M Offering amount: $3.5M
- Investors reported
- 3 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 3, 2022 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 17, 2022 | Initial | $3,499,865 | No comparison | 3 | SEC filing |
| Dec 28, 2021 | Initial | $4,500,005 | No comparison | 7 | SEC filing |
| Jan 28, 2020 | Initial | $430,225 | No comparison | 9 | SEC filing |
| Apr 4, 2019 | Initial | $1,700,000 | No comparison | 5 | SEC filing |
| Apr 14, 2010 | Initial | $1,150,000 | No comparison | 7 | SEC filing |
| Jan 15, 2010 | Initial | $1,500,000 | No comparison | 4 | SEC filing |
| Mar 31, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $252K (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-449518
Up to an additional $3,500,140.88 may be received upon the exercise of warrants issued in the offering, if any.
$252,000.21 cash fee was paid to H.C. Wainwright & Co, LLC as placement agent fee and certain additional offering expenses.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 |
Source: Form D, filed Jun 17, 2022. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| David Anthony | Director |
| Nicholas G Berchtold | Executive |
| Jennifer Cheng | Director |
| John M Davenport | Director, Executive |
| Robert Farkas | Director |
| J James Finnerty | Director |
| Greg Galluccio | Executive |
| David Gelbaum | Director |
| Eric W Hilliard | Executive |
| Gina Huang | Director |
| Michael A Kasper | Director |
| Joseph G Kaveski | Director, Executive |
| Brian Lagarto | Director |
| Geraldine Mc Manus | Director |
| Tod Nestor | Executive |
| Jeff Parker | Director |
| Philip Politziner | Director |
| Phillip Politziner | Director |
| Michael Ramelot | Director |
| David N Ruckert | Director |
| R Lewis Schneeberger | Director |
| Stephen Socolof | Director, Executive |
| James Tu | Director, Executive |
| Paul Von Paumgartten | Director |
| James Warren | Executive |
| Philip E Wolfson | Director |
Issuer details
Industry: Manufacturing (See others in industry)
Address:
32000 Aurora Road Suite B
Solon, OH, 44139
Solon, OH, 44139