|   |   |                                                                                 |
|--------|--------|--------------------------------------------------------------------------------------|
| þ |   | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |

|   |   |                                                                                     |
|--------|--------|------------------------------------------------------------------------------------------|
| o      |   | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
|   |   | For the transition period from _______________ to _______________                        |

|                     |   |                                 |
|--------------------------|--------|--------------------------------------|
| DELAWARE                 |   | 94-3021850                           |
| (State of incorporation) |   | (I.R.S. Employer Identification No.) |

| Large accelerated filer o                                                  |   | Accelerated filer o              |
|----------------------------------------------------------------------------|--------|----------------------------------|
| Non-accelerated filer o (Do not check if a smaller reporting company) |   | Smaller reporting company þ |

----

|           | PART II                                                                                        |   |    |   |
|----------------|------------------------------------------------------------------------------------------------|--------|---------|--------|
|           |                                                                                           |   |    |   |
| Item 9B.  | Other Information                                                                              |   |  3 |   |
|           |                                                                                           |   |    |   |
|           | PART III                                                                                       |   |    |   |
|           |                                                                                           |   |    |   |
| Item 10.       | Directors, Executive Officers, and Corporate Governance                                        |   |    | 3      |   |
|           |                                                                                           |   |    |   |   |
| Item 11.       | Executive Compensation                                                                         |   |    | 5      |   |
|           |                                                                                           |   |    |   |   |
| Item 12.       | Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters |   |    | 12     |   |
|           |                                                                                           |   |    |   |   |
| Item 13.       | Certain Relationships and Related Transactions and Director Independence                       |   |    | 15     |   |
|           |                                                                                           |   |    |   |   |
| Item 14.       | Principal Accountant Fees and Services                                                         |   |    | 16     |   |
|           |                                                                                           |   |    |   |   |
|           | PART IV                                                                                        |   |    |   |   |
|           |                                                                                           |   |    |   |   |
| Item 15.       | Exhibits and Financial Statement Schedules                                                     |   |    | 16     |   |
|           |                                                                                           |   |    |   |   |
|           | Signatures                                                                                     |   |    | 17     |   |
|           |                                                                                           |   |    |   |   |
|           | Exhibit Index                                                                                  |   |    | 18     |   |

----

----

| Name              | Age    | Director Since | Background                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
|-------------------|--------|----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
|              |   |           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |
| Jennifer Cheng    | 46     | 2012           | Ms. Cheng is the Co-founder and chairperson for The X/Y Group, a marketing enterprise that exclusively markets and distributes global consumer brand products, including JanSport and Skechers in the greater China region. Previously, Ms. Cheng was a marketing director for Molten Metal Technology, a Boston-based clean energy company that developed patented technologies and offered solutions for advanced treatment and energy recycling for hazardous radioactive waste. Ms. Cheng graduated from Fairleigh Dickinson with a Master in Business Administration and from Rutgers University with a Bachelor degree in Economics. Ms. Cheng is the sister of Simon Cheng.                                                                                                                                                                                                            |
|              |   |           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |
| Simon Cheng       | 39     | 2012           | Mr. Cheng is a Managing Director of Communal International Ltd., a group assisting clean energy companies gain market access and improve supply chain efficiencies in Asia. He is also an Executive Board Director of ZW Group, a real estate and shopping center developer in China. Previously, Mr. Cheng was a Co-founder and Chief Executive Officer for The X/Y Group, a marketing enterprise that exclusively markets and distributes global consumer brand products including JanSport and Skechers in the greater China region. Mr. Cheng graduated from New York University with a Bachelor degree in Business Administration. Mr. Cheng is the brother of Jennifer Cheng.                                                                                                                                                                                                           |
|              |   |           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |
| John M. Davenport | 68     | 2005           | Mr. Davenport was President of the Company from May 2008 to July 2012. He joined the Company in November 1999 as Vice President and Chief Technology Officer and was Chief Operating Officer from July 2003 to July 2005, and Chief Executive Officer from July 2005 until May 2008. Prior to joining Energy Focus, Mr. Davenport served as President of Unison Fiber Optic Lighting Systems, LLC, from 1998 to 1999. Mr. Davenport began his career at GE Lighting in 1972 as a research physicist and thereafter served 25 years in various capacities including GE Lighting's research and development manager and as development manager for high performance LED projects. He is a recognized expert in light sources, lighting systems and lighting applications, with special emphasis in low wattage discharge lamps, electronic ballast technology and distributed lighting systems. |
|              |   |           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |
| J. James Finnerty | 62     | 2008           | Mr. Finnerty is a retired Financial Services executive having served most recently as a Managing Director of European-American Equities, a New York City-based investment bank, from June 2009 to June 2011. Mr. Finnerty’s career spanned more than 35 years in the institutional money management community and included positions at Bank Boston, Kidder Peabody, Hambrecht and Quist, Deutsche Bank, Merriman, Curhan, and Ford, and the American Institute for Economic Research. Mr. Finnerty has a Master’s in Business Administration from Cornell University’s Johnson School of Management and a Bachelor of Arts in Economics and Psychology from Boston College.                                                                                                                                                                                                |

----

| Joseph G. Kaveski | 52     | 2008   | Mr. Kaveski is Chief Executive Officer of the Company. He joined the Company in April 2008 as Vice President for Business Development and Global Marketing.  On May 6, 2008 the Company’s Board of Directors appointed him as Chief Executive Officer.  Prior to joining Energy Focus, Mr. Kaveski led his own strategic engineering consulting business, TGL Company.  As a consultant, he worked with Energy Focus on strategic planning initiatives from September 2007 to April 2008.  From November 2004 through February 2006, Mr. Kaveski was Vice President of Energy Management Services and Strategic Projects and a member of the senior management team at Johnson Controls, Inc., a global leader in automotive experience, building efficiency and power solutions.                                                    |
|-------------------|--------|--------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
|              |   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |
| James Tu          | 44     | 2012   | Mr. Tu is the Founder, Chief Executive Officer and Chief Investment Officer of 5 Elements Global Advisors, an investment advisory and management company focusing on investing in clean energy companies with breakthrough, commercialized technologies and near-term profitability potential.  He is also Co-Founder and Managing Partner of Communal International Ltd. “(Communal”), a British Virgin Islands Company dedicated to assisting clean energy solutions companies to maximize their technology and product potential and gain access to global marketing, distribution licensing, manufacturing and financing resources.  Previously he was the Director of Investment Management of Gerstein Fisher & Associates, and an equity analyst at Dolphin Asset Management Corp.  He is also a Chartered Financial Analyst. |

----

| Name and PrincipalPosition | Year   |   | Salary($) |    |   | OptionAwards($) (1) |   |   | AllOtherCompensation($) (2) |   |   | Total($) |   |
|----------------------------|--------|--------|-----------|---------|--------|---------------------|--------|--------|-----------------------------|--------|--------|----------|--------|
|                       |   |   |      |    |   |                |   |   |                        |   |   |     |   |
| Joseph G. Kaveski          | 2012   |   |      | 225,000 |   |                |   | 57,404 |                        |   |   | 1,222    |   |   |   | 283,626 |   |
| Chief Executive            | 2011   |   |      | 225,000 |   |                |   | 76,002 |                        |   |   | 1,222    |   |   |   | 302,224 |   |
| Officer                    |   |   |      |    |   |                |   |   |                        |   |   |     |   |   |   |   |   |
|                       |   |   |      |    |   |                |   |   |                        |   |   |     |   |   |   |   |   |
| Eric W. Hilliard           | 2012   |   |      | 181,962 |   |                |   | 18,631 |                        |   |   | 1,195    |   |   |   | 201,788 |   |
| Chief Operating            | 2011   |   |      | 171,000 |   |                |   | 32,958 |                        |   |   | 1,195    |   |   |   | 205,153 |   |
| Officer                    |   |   |      |    |   |                |   |   |                        |   |   |     |   |   |   |   |   |
|                       |   |   |      |    |   |                |   |   |                        |   |   |     |   |   |   |   |   |
| Roger F. Buelow            | 2012   |   |      | 175,050 |   |                |   | 25,025 |                        |   |   | 7,213    |   |   |   | 207,288 |   |
| Chief Technology           | 2011   |   |      | 163,558 |   |                |   | 34,652 |                        |   |   | 7,212    |   |   |   | 205,422 |   |
| Officer                    |   |   |      |    |   |                |   |   |                        |   |   |     |   |   |   |   |   |

|   | (1) | The amounts set forth in this column reflect stock options granted to our Named Executive Officers.  The amounts listed are equal to the compensation cost recognized by the Company during the year indicated for financial statement purposes in accordance with Accounting Standards Codification (“ASC”) Topic Number 718, Compensation – Stock Compensation (“ASC 718”).  This valuation method values stock options granted during the indicated year and previous years.  A discussion of the assumptions used in calculating the compensation cost is set forth in Note 10 to the Consolidated Financial Statements of the Company's 2012 Annual Report on Form 10-K filed with the SEC on March 27, 2013. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (2) | The amounts set forth in this column include company contributions for life insurance policies and an automobile allowance for Mr. Buelow. |
|--------|-----|--------------------------------------------------------------------------------------------------------------------------------------------|

----

----

----

| Employee          |   | Voluntary Termination without Change in Control($) |   |   | Involuntary Termination without Change in Control($) |   |    | Death or Disability($) |   |   | Termination with Change in Control($) |   |
|-------------------|--------|----------------------------------------------------|--------|--------|------------------------------------------------------|--------|---------|------------------------|--------|--------|---------------------------------------|--------|
|              |   |                                               |   |   |                                                 |   |    |                   |   |   |                                  |   |
| Joseph G. Kaveski |   |                                               |   |   |                                                 |   |    |                   |   |   |                                  |   |
| Severance (1)     |   |                                               | -      |   |                                                 |   | 237,071 |                   |   |   | -                                     |   |   |   | 237,071 |   |
|              |   |                                               |   |   |                                                 |   |    |                   |   |   |                                  |   |   |   |   |   |
| Roger F. Buelow   |   |                                               |   |   |                                                 |   |    |                   |   |   |                                  |   |   |   |   |   |
| Severance (2)     |   |                                               | -      |   |                                                 |   | 209,222 |                   |   |   | -                                     |   |   |   | 209,222 |   |

| (1)    | The estimated severance payment is based on base salary at December 31, 2012. For Mr. Kaveski, the amount of severance equates to total yearly cash compensation received prior to involuntary termination for the term of twelve months from the date of involuntary termination, and $12,071 for reimbursement of group health coverage premiums for twelve months. |
|--------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
|   |                                                                                                                                                                                                                                                                                                                                                                  |
| (2)    | The estimated severance payment is based on base salary at December 31, 2012. For Mr. Buelow, the amount of severance equates to one month of base salary, group health coverage premiums, and automobile allowance for each year of employment. Mr. Buelow has been employed with the Company for 13 years.                                                     |

----

|              |   |   Option Awards |   |
|-------------------|--------|----------------------|--------|
| Name              |   | GrantDate            |   | Number ofSecuritiesUnderlyingUnexercisedOptionsExercisable(#) |   |   | Number ofSecuritiesUnderlyingUnexercisedOptionsUn-exercisable(#) |   |   |   | OptionExercisePrice($) |   | OptionExpirationDate |   |
| Joseph G. Kaveski |   | 05/06/08             |   |   | 100,000 |   |   |   | - |   |   |   |   | 2.00 |   | 05/06/18 |   |
|              |   | 11/24/08             |   |   | 100,000 |   |   |   | - |   |   |   |   | 1.37 |   | 11/24/18 |   |
|              |   | 12/31/09             |   |   | 74,999 |   |   |   | 25,001 | (1 | ) |   |   | 0.64 |   | 12/31/19 |   |
|              |   | 01/18/11             |   |   | 71,875 |   |   |   | 78,125 | (2 | ) |   |   | 1.07 |   | 01/18/21 |   |
|              |   |                 |   |   |   |   |   |   |   |   |   |   |   |   |   |   |   |
| Eric W. Hilliard  |   | 11/13/06             |   |   | 75,000 |   |   |   | - |   |   |   |   | 7.19 |   | 11/13/16 |   |
|              |   | 04/26/07             |   |   | 50,000 |   |   |   | - |   |   |   |   | 6.36 |   | 04/26/17 |   |
|              |   | 10/23/08             |   |   | 25,000 |   |   |   | - |   |   |   |   | 1.37 |   | 10/23/18 |   |
|              |   | 01/18/11             |   |   | 47,916 |   |   |   | 52,084 | (2 | ) |   |   | 1.07 |   | 01/18/21 |   |
|              |   |                 |   |   |   |   |   |   |   |   |   |   |   |   |   |   |   |
| Roger F. Buelow   |   | 02/19/03             |   |   | 18,750 |   |   |   | - |   |   |   |   | 3.35 |   | 02/19/13 |   |
|              |   | 07/01/05             |   |   | 25,000 |   |   |   | - |   |   |   |   | 10.64 |   | 07/01/15 |   |
|              |   | 12/06/07             |   |   | 25,000 |   |   |   | - |   |   |   |   | 6.06 |   | 12/06/17 |   |
|              |   | 01/18/11             |   |   | 35,937 |   |   |   | 39,063 | (2 | ) |   |   | 1.07 |   | 01/18/21 |   |
|              |   | 08/05/11             |   |   | 66,666 |   |   |   | 133,334 | (3 | ) |   |   | 0.50 |   | 08/05/21 |   |

| (1) | Options vest monthly through December 31, 2013. |   |   |
|-----|-------------------------------------------------|--------|--------|
| (2) | Options vest monthly through January 18, 2015.  |   |   |
| (3) | Options vest monthly through August 5, 2015     |   |   |

----

|                                                   |   |   |   |
|--------------------------------------------------------|--------|--------|--------|
| Annual Retainer                                        |   | $      | 20,000 |   |
| Additional Annual Retainers:                           |   |   |   |   |
| Chairman of the Board/Lead Director                    |   | $      | 10,000 |   |
| Compensation Committee Chairman                        |   |   | 5,000  |   |
| Audit and Finance Committee Chairman                   |   |   | 7,000  |   |
| Nominating and Corporate Governance Committee Chairman |   |   | 5,000  |   |

| Name                      |   | FeesEarnedor Paidin Cash($) |   |   | OptionAwards($) (1) |   |   | Total($) |   |
|---------------------------|--------|-----------------------------|--------|--------|---------------------|--------|--------|----------|--------|
|                      |   |                        |   |   |                |   |   |     |   |
| Jennifer Cheng            |   |                        | 8,681  |   |                |   | 1,339  |     |   |   | 10,020 |   |
| Simon Cheng               |   |                        | 8,681  |   |                |   | 1,337  |     |   |   | 10,018 |   |
| J. James Finnerty         |   |                        | 25,000 |   |                |   | 2,003  |     |   |   | 27,003 |   |
| Paul von Paumgartten (2)  |   |                        | 33,173 |   |                |   | 2,003  |     |   |   | 35,176 |   |
| R. Louis Schneeberger (3) |   |                        | 27,000 |   |                |   | 2,003  |     |   |   | 29,003 |   |
| James Tu (4)              |   |                        | 1,071  |   |                |   | -      |     |   |   | 1,071 |   |

|   | (1) | The amounts represent the grant date fair value of stock options granted during 2012 computed in accordance with ASC 718. |
|--------|-----|---------------------------------------------------------------------------------------------------------------------------|

|   | (2) | Mr. von Paumgartten retired from the Board of Directors effective December 12, 2012.  The Company plans to enter into a marketing consulting arrangement with Mr. von Paumgartten; however, no such agreement has been consummated and $0 was accrued during 2012. |
|--------|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

|   | (3) | Mr. Scheneeberger resigned from the Board of Directors effective April 22, 2013. |
|--------|-----|----------------------------------------------------------------------------------|

|   | (4) | Mr. Tu was appointed Chairman of the Board of Directors effective December 12, 2012 to fill the vacancy created by Mr. von Paumgartten’s retirement.  Mr. Tu is Founder, Chief Executive Officer and Chief Investment Officer of 5 Elements Global Advisors, and Co-Founder and Managing Partner of Communal International Ltd.  See “Certain Relationships and Related Transactions” for a discussion of compensation arrangements between the Company and Communal International Ltd. |
|--------|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

----

| Name                  |   | Aggregate Number of StockOptions Outstanding(#) (1) |   |
|-----------------------|--------|-----------------------------------------------------|--------|
|                  |   |                                                |   |
| Jennifer Cheng        |   |                                                | 10,000 |   |
| Simon Cheng           |   |                                                | 10,000 |   |
| J. James Finnerty     |   |                                                | 80,000 |   |
| Paul von Paumgartten  |   |                                                | 84,333 |   |
| R. Louis Schneeberger |   |                                                | 65,000 |   |
| James Tu              |   |                                                | -      |   |

| (1) | The number of options vested at December 31, 2012 is as follows: |   |   |   |   |
|-----|------------------------------------------------------------------|--------|--------|--------|--------|

|                |   |   |   |   |
|---------------------|--------|--------|--------|--------|
| Ms. Cheng           |   |   | 4,166  |   |
| Mr. Cheng           |   |   | 4,166  |   |
| Mr. Finnerty        |   |   | 55,416 |   |
| Mr. von Paumgartten |   |   | 84,333 |   |
| Mr. Schneeberger    |   |   | 40,416 |   |

----

|                                             |   |   | Shares Beneficially Owned |   |
|--------------------------------------------------|--------|--------|---------------------------|--------|
| Name and Address                                 |   |   | Number (1)                |   |   |   |   | Percent ofOutstandingCommonStock (1) |   |
| 5% Shareholders                                  |   |   |                      |   |   |   |   |   |   |
| Costar Partners II, LLC                          |   |   | 7,086,957                 |   | (2) |   |   | 14.8% |   |
| 53 East 34th Street                              |   |   |                      |   |   |   |   |   |   |
| Paterson, New Jersey 07514                       |   |   |                      |   |   |   |   |   |   |
| Bi Cheng                                         |   |   | 6,000,000                 |   | (3) |   |   | 12.8% |   |
| No. 26 Yuantong Street                           |   |   |                      |   |   |   |   |   |   |
| Kunming, Yunnan, China                           |   |   |                      |   |   |   |   |   |   |
| Jag International Ltd.                           |   |   | 6,000,000                 |   | (4) |   |   | 12.8% |   |
| P.O. Box 3444, Road Town                         |   |   |                      |   |   |   |   |   |   |
| Tortola, British Virgin Islands                  |   |   |                      |   |   |   |   |   |   |
| 5 Elements Energy Efficiencies (BVI) Ltd.        |   |   | 5,700,000                 |   | (5) |   |   | 12.2% |   |
| P.O. Box 3444, Road Town                         |   |   |                      |   |   |   |   |   |   |
| Tortola, British Virgin Islands                  |   |   |                      |   |   |   |   |   |   |
| Scott E. DeSano                                  |   |   | 3,486,957                 |   | (6) |   |   | 7.6% |   |
| 222 Seaspray Avenue                              |   |   |                      |   |   |   |   |   |   |
| Palm Beach, Florida 33480                        |   |   |                      |   |   |   |   |   |   |
| Directors and Named Executive Officers           |   |   |                      |   |   |   |   |   |   |
| Roger R. Buelow                                  |   |   | 226,131                   |   | (7) |   |   | * |   |
| Jennifer Cheng                                   |   |   | 8,333                     |   | (8) |   |   | - |   |
| Simon Cheng                                      |   |   | 8,333                     |   | (8) |   |   | - |   |
| John M. Davenport                                |   |   | 714,594                   |   | (9) |   |   | 1.6% |   |
| J. James Finnerty                                |   |   | 95,051                    |   | (10) |   |   | * |   |
| Eric W. Hilliard                                 |   |   | 268,629                   |   | (11) |   |   | * |   |
| Joseph G. Kaveski                                |   |   | 508,145                   |   | (12) |   |   | 1.1% |   |
| James Tu                                         |   |   | 8,400,000                 |   | (13) |   |   | 17.7% |   |
|                                             |   |   |                      |   |   |   |   |   |   |
| All directors and executives officers as a group |   |   | 10,469,845                |   | (14) |   |   | 19.0% |   |

----

| (1)    |   | Based on 44,698,650 shares outstanding as of April 24, 2013. In addition, shares issuable pursuant to options and warrants that may be exercised through June 23, 2013, as deemed to be issued and outstanding and are included in the reported beneficial holdings. These shares have been treated as outstanding in calculating the percentage ownership of the individual possessing such interest, but not for any other individuals. Thus, the number of shares considered to be outstanding for the purposes of this table varies depending on each individual's particular circumstances. |
|--------|--------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (2)    |   | Based on a schedule 13G filed with the SEC by Costar Partners II, LLC ("Costar Partners") and William Cohen on March 22, 2012. Costar Partners and Mr. Cohen reported shared voting and shared dispostivie power over 4,000,000 shares of Comon Stock, and over 2,000,000 shares covered by warrants. Additionally, Mr. Cohen holds $250,000 of convertible debt that is convertible into shares of Common Stock beginning April 30, 2013 at $0.23 per share.                                                                                                                                    |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (3)    |   | Based on a Schedule 13G filed with the SEC by Bi Cheng on April 27, 2012. Bi Cheng reported sole voting and sole dispositive power over 4,000,000 shares of Common Stock, and over 2,000,000 shares covered by warrants.                                                                                                                                                                                                                                                                                                                                                                              |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (4)    |   | Based on a Schedule 13G filed with the SEC by Jag International Ltd. "(Jag International") on April 27, 2012. Jag International reported shares voting and shared dispositive power over 4,000,000 shares of Common Stock, and over 2,000,000 shares covered by warrants.                                                                                                                                                                                                                                                                                                                             |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (5)    |   | Based on a Schedule 13G filed with the SEC by 5 Elements Energy Efficiencies (BVI) Ltd. ("5 Elements Energy") on April 27, 2012. 5 Elements Energy reported shared voting and shared dispositive power over 3,800,000 shares of Common Stock, and over 1,900,000 shares covered by warrants. Communal International Ltd (“Communal”) is a 50 percent owner of 5 Elements Energy. James Tu is Co-Founder and Partner-In-Charge of Communal.                                                                                                                                           |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (6)    |   | Based on a Schedule 13D filed with the SEC by Scott E. DeSano on April 5, 2012. Mr. DeSano reported sole voting and sole dispositive power over 2,400,000 shares. Additionally, Mr. DeSano holds $250,000 of convertible debt that is convertible into shares of Common Stock beginning April 30, 2013 at $0.23 per share.                                                                                                                                                                                                                                                                            |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (7)    |   | Includes 39,153 restricted shares and 186,978 options exercisable as of June 23, 2013.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (8)    |   | Jennifer Cheng and Simon Cheng are brother and sister. Includes 8,333 options exercisable as of June 23, 2013.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (9)    |   | Includes 223,725 restricted shares, 294,312 options exercisable as of June 23, 2013, and 125,000 warrants exercisable.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (10)   |   | Includes 66,666 options exercisable as of June 23, 2013.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (11)   |   | Includes 42,508 restricted shares and 210,416 options exercisable as of June 23, 2013.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (12)   |   | Includes 55,931 restricted shares and 376,040 options exercisable as of June 23, 2013.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (13)   |   | Includes shares held by 5 Elements Energy described in (5) above, and 1,800,000 shares of Common Stock and 900,000 shares coverd by warrants held by 5 Elements Global Fund LP.                                                                                                                                                                                                                                                                                                                                                                                                                       |
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| (14)   |   | Includes 361,317 restricted shares, 1,246,911 options exercisable as of June 23, 2013, and 3,050,000 warrants exercisable.                                                                                                                                                                                                                                                                                                                                                                                                                                                                            |

----

|                                                   |   | Equity Compensation Plan Information                                                        |      |
|--------------------------------------------------------|--------|---------------------------------------------------------------------------------------------|-----------|
| Plan category                                          |   | Number of securities to be issued upon exercise of outstanding options, warrants and rights |      | Weighted-average exerciseprice of outstanding options, warrants and rights |   | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) |   |
|                                                   |   |                                                                                        |      |   |   |   |   |   |   |
| Equity compensation plans approved by security holders |   |                                                                                        | 2,184,583 |   |   |   | $2.20 |   |   |   | 3,345,667 (1) |   |

|   | (1) | Includes 123,867 shares available for issuance under the 1994 Employee Stock Purchase Plan. |
|--------|-----|---------------------------------------------------------------------------------------------|

----

| Jennifer Cheng    |
|-------------------|
| Simon Cheng       |
| J. James Finnerty |

----

|           |   | Year Ending December 31, |    |
|----------------|--------|--------------------------|---------|
|           |   | 2012                     |    |   | 2011 |   |
| Audit Fees (1) |   | $                        | 292,632 |   |   | $ | 268,629 |   |
| Other Fees (2) |   |                     | 12,390  |   |   |   | 12,104 |   |
| Total Fees     |   | $                        | 305,022 |   |   | $ | 280,733 |   |

| (1)    |   | Includes fees incurred for audit services related to quarterly reviews and audits of consolidated financial statements.  For both 2012 and 2011, the Company was not required to obtain independent public accounting firm certification of its internal control infrastructure as defined by the Sarbanes-Oxley Act.  Therefore, no fees related to the audit of Sarbanes-Oxley compliance were incurred. |
|--------|--------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
|   |   |                                                                                                                                                                                                                                                                                                                                                                                                                           |
| (2)    |   | Includes fees of $10,500 in 2012 and $8,948 in 2011 for services related to the filing of various registration statements with the SEC.  Remaining fees for 2012 and 2011 relate to miscellaneous consulting services.                                                                                                                                                                                               |

----

|   |   | ENERGY FOCUS, INC.                          |
|--------|--------|---------------------------------------------|
|   |   |                                        |
|   |   |                                        |
|   | By:    | /s/ JOSEPH G. KAVESKI                       |
|   |   | Joseph G. Kaveski                           |
|   |   | Chief Executive OfficerDate: April 24, 2013 |

|   |                   | Signature |                                                  |   |   | Title |   |   |
|--------|------------------------|-----------|-------------------------------------------------------|--------|--------|-------|--------|--------|
|   |                   |      |                                                  |   |
|   | /s/ Joseph G. Kaveski  |      | Chief Executive Officer and Director                  |   |
|   | Joseph G. Kaveski      |      | (Principal Executive Officer)                         |   |
|   |                   |      |                                                  |   |
|   | /s/ Mark J. Plush      |      | Vice President of Finance and Chief Financial Officer |   |
|   | Mark J. Plush          |      | (Principal Financial and Accounting Officer)          |   |
|   |                   |      |                                                  |   |
|   | */s/ James Tu          |      | Chairman of the Board of Directors                    |   |
|   | James Tu               |      |                                                  |   |
|   |                   |      |                                                  |   |
|   | */s/ Jennifer Cheng    |      | Director                                              |   |
|   | Jennifer Cheng         |      |                                                  |   |
|   |                   |      |                                                  |   |
|   | */s/ Simon Cheng       |      | Director                                              |   |
|   | Simon Cheng            |      |                                                  |   |
|   |                   |      |                                                  |   |
|   | */s/ John M. Davenport |      | Director                                              |   |
|   | John M. Davenport      |      |                                                  |   |
|   |                   |      |                                                  |   |
|   | */s/ J. James Finnerty |      | Director                                              |   |
|   | J. James Finnerty      |      |                                                  |   |

----

| ExhibitNumber | Description of Documents                                                                                                                      |
|---------------|-----------------------------------------------------------------------------------------------------------------------------------------------|
|          |                                                                                                                                          |
| 24.1          | Power of Attorney (incorporated by reference from Exhibit 24.1 to the Registrant’s Annual Report on Form 10-K filed on March 27, 2013). |
|          |                                                                                                                                          |
| 31.1          | Rule 13a-14(a) Certification by Chief Executive Officer (filed with this Report).                                                             |
|          |                                                                                                                                          |
| 31.2          | Rule 13a-14(a) Certification by Vice President of Finance and Chief Financial Officer (filed with this Report).                               |
|          |                                                                                                                                          |
| 32.1          | Section 1350 Certification of Chief Executive Officer and Vice President of Finance and Chief Financial Officer (filed with this Report).     |