ENERGY FOCUS, INC/DE Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2022-06-17: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2022-06-03; Total offering amount $3,499,865.
- 2021-12-28: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2021-12-13; Total offering amount $4,500,005.
- 2020-01-28: Federal exemption Rule 506(b); Types of securities offered OptionToAcquire; SecurityToBeAcquired; Date of first sale 2020-01-13; Total offering amount $2,750,000.
- 2019-04-04: Federal exemption Rule 506(c); Types of securities offered Subordinated Promissory Notes Convertible into Series A Convertible Preferred Stock; Date of first sale 2019-03-29; Total offering amount $1,700,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|
| 2022-06-17 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2022-06-03 | $3,499,865 | $3,499,865 | $0 | 3 |
|---|
| 2021-12-28 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2021-12-13 | $4,500,005 | $4,500,005 | $0 | 7 |
|---|
| 2020-01-28 | Rule 506(b) | OptionToAcquire; SecurityToBeAcquired | 2020-01-13 | $2,750,000 | $430,225 | $2,319,775 | 9 |
|---|
| 2019-04-04 | Rule 506(c) | Subordinated Promissory Notes Convertible into Series A Convertible Preferred Stock | 2019-03-29 | $1,700,000 | $1,700,000 | $0 | 5 |
|---|
| 2010-04-14 | Rule 506 | Equity; Debt; OptionToAcquire; SecurityToBeAcquired | 2010-03-30 | $1,152,300 | $1,150,000 | $2,300 | 7 |
|---|
| 2010-01-15 | Rule 506 | Equity; Debt; OptionToAcquire; SecurityToBeAcquired | 2009-12-29 | $1,902,500 | $1,500,000 | $402,500 | 4 |
|---|