EFOI

SEC source: 0000924168-19-000125 · wf-form4_157667562853120.xml · nonDerivative · entry 1

McManus Geraldine · CIK 0001769254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,710

F1 · security: Represents restricted stock units that fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date (December 17, 2019).

SEC source: 0000924168-19-000123 · wf-form4_157667520296749.xml · nonDerivative · entry 1

Politziner Philip · CIK 0001669593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: Represents restricted stock units that fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date (December 17, 2019).

SEC source: 0001564957-19-000005 · wf-form4_156349389778617.xml · derivative · entry 1

Tu James · CIK 0001564957 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2029-07-16

F1 · derivative.exercise_date: Date applies to one-fourth of the total. The remaining three-fourths vest in equal monthly installments thereafter over a three year period.

SEC source: 0000924168-19-000065 · wf-form4_156349010281979.xml · derivative · entry 1

NESTOR TOD A · CIK 0001399090 · President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-07-16

F1 · derivative.exercise_date: Date applies to one-fourth of the total. The remaining three-fourths vest in equal monthly installments thereafter over a 3 year period.

SEC source: 0000924168-19-000056 · wf-form4_156115190748151.xml · derivative · entry 2

Socolof Stephen · CIK 0001350862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,032 shares

Expires 2019-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000056 · wf-form4_156115190748151.xml · nonDerivative · entry 1

Socolof Stephen · CIK 0001350862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,032

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000052 · wf-form4_156115130552053.xml · derivative · entry 2

McManus Geraldine · CIK 0001769254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,290 shares

Expires 2019-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000052 · wf-form4_156115130552053.xml · nonDerivative · entry 1

McManus Geraldine · CIK 0001769254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,290

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000054 · wf-form4_156115161992832.xml · derivative · entry 2

Ramelot Michael Rush · CIK 0001588430 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2019-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000054 · wf-form4_156115161992832.xml · nonDerivative · entry 1

Ramelot Michael Rush · CIK 0001588430 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,927

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000050 · wf-form4_156115109068379.xml · derivative · entry 2

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,290 shares

Expires 2019-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000050 · wf-form4_156115109068379.xml · nonDerivative · entry 1

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,290

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-19-000048 · wf-form4_155994236882936.xml · derivative · entry 1

Socolof Stephen · CIK 0001350862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,032

Underlying: Common Stock · 5,032 shares

Expires 2019-06-20

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F3 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-19-000025 · wf-form4_155441425778649.xml · derivative · entry 1

Farkas Robert A. · CIK 0001772700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,575

Underlying: Common Stock · 5,575 shares

Expires 2019-06-19

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F3 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0001144204-19-018014 · tv517902_form4.xml · derivative · entry 1

Tu James · CIK 0001564957 · Director · CEO, President and Interim CFO · 10% owner

Huang Gina · CIK 0001600805 · 10% owner

Jag International Co Ltd. · CIK 0001544485 · 10% owner

Brilliant Start Enterprise, Inc. · CIK 0001600870 · 10% owner

Luo Jiangang · CIK 0001588515 · 10% owner

Cleantech Global Ltd · CIK 0001588566 · 10% owner

5 ELEMENTS GLOBAL FUND, LP · CIK 0001480824 · 10% owner

Cheng Yeh Mei-Hui · CIK 0001761139 · 10% owner

Communal International, Ltd. · CIK 0001761130 · 10% owner

5 Elements Energy Efficiency Ltd. · CIK 0001544460 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: Not disclosed

Underlying: Series A Convertible Preferred Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · derivative.exercise_price: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · derivative.exercise_price: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · kind: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · kind: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · kind: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · reported_value: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · reported_value: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · reported_value: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · price: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · price: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · price: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · derivative.exercise_date: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · derivative.exercise_date: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · derivative.exercise_date: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · derivative.expiration_date: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · derivative.expiration_date: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · derivative.expiration_date: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · derivative.underlying: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · derivative.underlying: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · derivative.underlying: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · derivative.underlying_shares: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · derivative.underlying_shares: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · derivative.underlying_shares: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · valueOwnedAfter: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · valueOwnedAfter: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · valueOwnedAfter: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · ownership.direct: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · ownership.direct: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · ownership.direct: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

F1 · ownership.nature: On March 29, 2019, the Issuer entered into a note purchase agreement with Fusion Park LLC ("Fusion Park") (of which James Tu is the sole member), F&S Electronic Technology (HK) Co., Ltd., Brilliant Start Enterprises, Inc. ("Brilliant Start"), Vittorio Viarengo and Amaury Furmin for the purchase of an aggregate of $1.7 million in subordinated convertible promissory notes (the "Notes") of which Fusion Park and Brilliant Start purchased $580,000 and $500,000, respectively. The Notes, which were issued on March 29, 2019, have a maturity date of December 31, 2021 and bear interest at a rate of 5% per annum until June 30, 2019 and at a rate of 10% per annum thereafter. The Notes and accrued interest will convert into shares of the Issuer's Series A convertible preferred stock (the "Series A Preferred Stock") on April 17, 2019, if permitted without stockholder approval under the equity issuance rules of the Nasdaq Stock Market (the "Nasdaq Cap")

F2 · ownership.nature: (cont'd) and to the extent sufficient shares of Series A Preferred Stock are authorized under the Issuer's certificate of incorporation (the "Charter"), based on a conversion price equal to the greater of (a) the volume-weighted average trading price of the Issuer's common stock ("Common Stock") measured over the 10 trading day period ending on April 16, 2019 or (b) $0.20 (as applicable, the "Conversion Rate"). If the Notes cannot fully convert on April 17, 2019 due to the Nasdaq Cap, then no portion of the Notes will convert into Series A Preferred Stock until the Issuer obtains stockholder approval of the transaction in accordance with the Nasdaq rules. If shares of the Series A Preferred Stock can be issued under the Nasdaq Cap, but insufficient shares of Series A Preferred Stock are available under the Charter,

F3 · ownership.nature: (cont'd) then the Notes will convert in part to the extent of the authorized shares and the remainder will convert upon approval by the Issuer's stockholders of an amendment to the Charter to increase the authorized number of shares of Series A Preferred Stock. Assuming the Issuer's stockholders approve the transaction and the lowest Conversion Rate of $0.20, the maximum number of shares of Series A Preferred Stock that could be issued upon conversion of the Notes and the maximum number of shares of Common Stock that could be issued to the Reporting Persons pursuant to the conversion of the Series A Preferred Stock would be 5,400,000 (of which 2,900,000 and 2,500,000 shares of Series A Preferred Stock would be issued to Fusion Park and Brilliant Start, respectively), plus any shares issued in respect of accrued interest. The shares of Series A Preferred Stock are convertible into shares of Common Stock at the option of the Reporting Persons on a one-for-one basis.

SEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · derivative · entry 6

Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,481

Underlying: Common Stock · 16,481 shares

Expires 2020-02-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.

SEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 4

Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,934

SEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 3

Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,672

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · derivative · entry 5

Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,200

Underlying: Common Stock · 55,100 shares

Expires 2021-02-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.

SEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 2

Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,191

SEC source: 0000924168-19-000016 · wf-form4_155139050120034.xml · nonDerivative · entry 1

Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,561

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000924168-19-000014 · wf-form4_155130500408397.xml · derivative · entry 1

Cheng Jennifer Y · CIK 0001555300 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,290

Underlying: Common Stock · 8,290 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F3 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-19-000010 · wf-form4_155130443090940.xml · derivative · entry 1

McManus Geraldine · CIK 0001769254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,290

Underlying: Common Stock · 8,290 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F3 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F2 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-19-000002 · wf-form4_154655159052517.xml · nonDerivative · entry 1

Turin Jerry · CIK 0001442677 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,906

F1 · kind: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan.

SEC source: 0000924168-18-000057 · wf-form4_153065025132333.xml · derivative · entry 2

Turin Jerry · CIK 0001442677 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,711

Underlying: Common Stock · 75,711 shares

Expires 2028-05-29

F4 · derivative.exercise_date: Date applies to one-third of the total. The remaining two-thirds vest in equal monthly installments thereafter over a two year period.

SEC source: 0000924168-18-000057 · wf-form4_153065025132333.xml · derivative · entry 1

Turin Jerry · CIK 0001442677 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,474

Underlying: Common Stock · 50,474 shares

Expires 2021-05-30

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F3 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.

SEC source: 0000924168-18-000055 · wf-form4_153065005576422.xml · nonDerivative · entry 1

Tewksbury Ted L III · CIK 0001375681 · Director · Chairman, CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,461

F1 · kind: Shares acquired through the Energy Focus, Inc. 2013 Employee Stock Purchase Plan.

SEC source: 0000924168-18-000053 · wf-form4_152970807873360.xml · derivative · entry 3

RISHI SATISH · CIK 0001219137 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F3 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-18-000053 · wf-form4_152970807873360.xml · derivative · entry 2

RISHI SATISH · CIK 0001219137 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,169

Underlying: Common Stock · 3,169 shares

Expires 2018-06-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000053 · wf-form4_152970807873360.xml · nonDerivative · entry 1

RISHI SATISH · CIK 0001219137 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,169

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000050 · wf-form4_152970531892747.xml · derivative · entry 2

Cohen William · CIK 0001584227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,443 shares

Expires 2018-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000050 · wf-form4_152970531892747.xml · nonDerivative · entry 1

Cohen William · CIK 0001584227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 663,622

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000048 · wf-form4_152970504876913.xml · derivative · entry 3

BLACK RONALD D · CIK 0001222711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F3 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-18-000048 · wf-form4_152970504876913.xml · derivative · entry 2

BLACK RONALD D · CIK 0001222711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,443 shares

Expires 2018-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000048 · wf-form4_152970504876913.xml · nonDerivative · entry 1

BLACK RONALD D · CIK 0001222711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,427

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000045 · wf-form4_152970471821093.xml · derivative · entry 3

Eisenberg Marc · CIK 0001373773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F3 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-18-000045 · wf-form4_152970471821093.xml · derivative · entry 2

Eisenberg Marc · CIK 0001373773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,443 shares

Expires 2018-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000045 · wf-form4_152970471821093.xml · nonDerivative · entry 1

Eisenberg Marc · CIK 0001373773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,427

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000043 · wf-form4_152970453039421.xml · derivative · entry 3

Dorchak Glenda · CIK 0001468620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F3 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-18-000043 · wf-form4_152970453039421.xml · derivative · entry 2

Dorchak Glenda · CIK 0001468620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,443 shares

Expires 2018-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000043 · wf-form4_152970453039421.xml · nonDerivative · entry 1

Dorchak Glenda · CIK 0001468620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,427

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000041 · wf-form4_152970437179543.xml · derivative · entry 3

Ramelot Michael Rush · CIK 0001588430 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

F3 · derivative.expiration_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-18-000041 · wf-form4_152970437179543.xml · derivative · entry 2

Ramelot Michael Rush · CIK 0001588430 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,443 shares

Expires 2018-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000041 · wf-form4_152970437179543.xml · nonDerivative · entry 1

Ramelot Michael Rush · CIK 0001588430 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,927

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into Common Stock on a one-for-one basis.

SEC source: 0000924168-18-000024 · wf-form4_152400302097103.xml · derivative · entry 1

RISHI SATISH · CIK 0001219137 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,169

Underlying: Common Stock · 3,169 shares

Expires 2018-06-21

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: The Restricted Stock Units fully vest on the earlier of (i) the one year anniversary of the grant date or (ii) the date of the Company's annual meeting of stockholders next following the grant date.

SEC source: 0000924168-18-000018 · wf-form4_152287639595379.xml · derivative · entry 3

Port Michael Harry · CIK 0001682287 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,872

Underlying: Common Stock · 6,435 shares

Expires 2020-04-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.

SEC source: 0000924168-18-000018 · wf-form4_152287639595379.xml · nonDerivative · entry 2

Port Michael Harry · CIK 0001682287 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,793

SEC source: 0000924168-18-000018 · wf-form4_152287639595379.xml · nonDerivative · entry 1

Port Michael Harry · CIK 0001682287 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,055

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000924168-18-000016 · wf-form4_152149309777519.xml · derivative · entry 3

Port Michael Harry · CIK 0001682287 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,174

Underlying: Common Stock · 1,173 shares

Expires 2019-03-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Energy Focus, Inc. Common Stock.

F2 · derivative.exercise_date: Date applies to one-third of the total. Another one-third vests two years from the grant date and the final one-third vests three years from the grant date.

SEC source: 0000924168-18-000016 · wf-form4_152149309777519.xml · nonDerivative · entry 2

Port Michael Harry · CIK 0001682287 · CFO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,620