Ownership Submission
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Tu James
  2. Issuer Name and Ticker or Trading Symbol
ENERGY FOCUS, INC/DE [EFOI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO, President and Interim CFO
(Last)
(First)
(Middle)
1 BRIDGE PLAZA NORTH, #275, 
3. Date of Earliest Transaction (Month/Day/Year)
03/29/2019
(Street)

FORT LEE, NJ 07024
4. If Amendment, Date Original Filed(Month/Day/Year)
6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
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)
Code V Amount (A) or (D) Price

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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 Underlying Securities
(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 of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Convertible Notes due 2021 (1) (2) (3) 03/29/2019   P(1)(2)(3)   $ 1,080,000 (1) (2) (3)     (1)(2)(3)   (1)(2)(3) Series A Convertible Preferred Stock (1) (2) (3) (1) (2) (3) (1) (2) (3) $ 1,080,000 (1) (2) (3) I (1) (2) (3) See Footnote (1) (2) (3)

Reporting Owners

Reporting Owner Name / Address Relationships
 Director  10% Owner  Officer  Other
Tu James
1 BRIDGE PLAZA NORTH, #275
FORT LEE, NJ 07024
  X   X   CEO, President and Interim CFO  
Huang Gina
3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3
LANE 140 SONG SHAN DISTRICT
TAIPEI CITY, F5 105
    X    
Jag International Co Ltd.
3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3
LANE 140 SONG SHAN DISTRICT
TAIPEI CITY, F5 105
    X    
Brilliant Start Enterprise, Inc.
3F-4, NO.9, MIN QUAN EAST ROAD SECTION 3
LANE 140 SONG SHAN DISTRICT
TAIPEI CITY, F5 105
    X    
Luo Jiangang
18 MICHELLE WAY
PINE BROOK, NJ 07058
    X    
Cleantech Global Ltd
ONE OFFSHORE INCORPORATION
CENTRE ROAD TOWN
TORTOLA, D8 
    X    
5 ELEMENTS GLOBAL FUND, LP
1 BRIDGE PLAZA NORTH, #275
FORT LEE, NJ 07024
    X    
Cheng Yeh Mei-Hui
SEA MEADOW HOUSE, BLACKBURNE HIGHWAY,
P.O. BOX 116 ROAD TOWN
TORTOLA, D8 
    X    
Communal International, Ltd.
1 BRIDGE PLAZA NORTH, #275
FORT LEE, NJ 07024
    X    
5 Elements Energy Efficiency Ltd.
17F, NO.87, SUNG CHIANG ROAD
TAIPEI, F5 104
    X    

Signatures

 /s/ James Tu   04/02/2019
**Signature of Reporting Person Date

 /s/ Gina Huang (Mei-Yun Huang)   04/02/2019
**Signature of Reporting Person Date

 JAG INTERNATIONAL, LTD. By: /s/ Gina Huang (Mei-Yun Huang), General Partner   04/02/2019
**Signature of Reporting Person Date

 BRILLIANT START ENTERPRISE, INC. By: /s/ Gina Huang (Mei-Yun Huang), General Partner   04/02/2019
**Signature of Reporting Person Date

 /s/ Jiangang Luo   04/02/2019
**Signature of Reporting Person Date

 CLEANTECH GLOBAL LTD. By: /s/ Jiangang Luo, Managing Partner   04/02/2019
**Signature of Reporting Person Date

 5 ELEMENTS GLOBAL FUND L.P. By: /s/ James Tu, Managing Partner   04/02/2019
**Signature of Reporting Person Date

 /s/ Yeh-Mei Hui Cheng   04/02/2019
**Signature of Reporting Person Date

 COMMUNAL INTERNATIONAL, LTD. By: /s/ Yeh-Mei Hui Cheng, Authorized Representative   04/02/2019
**Signature of Reporting Person Date

 5 ELEMENTS ENERGY EFFICIENCY LIMITED By: /s/ Yeh-Mei Hui Cheng, Authorized Representative   04/02/2019
**Signature of Reporting Person Date

Explanation of Responses:

* 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).
(1) 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")
(2) (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,
(3) (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.
 
Remarks:
On November 30, 2018, the Reporting Persons filed a Schedule 13D reporting that they may be deemed to be a "group" under Section 13(d)(3) of the Exchange Act of 1934, as amended, and Rule 13d-5 promulgated thereunder. Because the aggregate holdings of the "group" exceed 10% of the Common Stock outstanding, each Reporting Person is deemed to be a 10% owner.

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