Document:

EX-4.6

Exhibit 4.6

FORM OF SUBSCRIPTION RIGHTS CERTIFICATE TO PURCHASE SHARES OF COMMON STOCK

			
	 	 	 
	RIGHTS CERTIFICATE NO.:                     
	 	NUMBER OF RIGHTS:                     

THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S

PROSPECTUS DATED OCTOBER [__], 2009 (THE “PROSPECTUS”) AND ARE INCORPORATED HEREIN BY

REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM THE BANK OF NEW

YORK MELLON SHAREOWNER SERVICES, THE SUBSCRIPTION AGENT AND INFORMATION AGENT.

Energy Focus, Inc.

Incorporated under the laws of the State of Delaware

SUBSCRIPTION RIGHTS CERTIFICATE

Evidencing Subscription Rights to Purchase Shares of Common Stock of Energy Focus, Inc.

Subscription Price: $[___.___] per Share

THE SUBSCRIPTION RIGHTS WILL EXPIRE IF NOT EXERCISED ON OR BEFORE 5:00 P.M., NEW YORK

CITY TIME, ON [NOVEMBER ___], 2009, UNLESS EXTENDED BY THE COMPANY.

REGISTERED OWNER:                                         

	 	 	 
	THIS CERTIFIES THAT the registered
owner whose name is inscribed hereon
is the owner of the number of
subscription rights (“Rights”) set
forth above. Each whole Right
entitles the holder thereof to
subscribe for and purchase one share
of Common Stock, with a par value of
$0.0001 per share, of Energy Focus,
Inc., a Delaware corporation, at a
subscription price of $[ ___. ___ ___]
per share (the “Basic Subscription
Right”), pursuant to a rights
offering (the “Rights Offering”), on
the terms and subject to the
conditions set forth in the
Prospectus. Holders who
fully exercise their Basic
Subscription Rights are entitled to subscribe for additional

	 	shares
of common stock that remain
unsubscribed for as a result of any
unexercised Basic Subscription
Rights pursuant to the terms and
conditions of the Rights Offering,
subject to proration, as described
in the Prospectus (the
“Over-Subscription Right”). The
Rights represented by this
Subscription Rights Certificate may
be exercised by completing Form 1
and any other appropriate form(s) on
the reverse side hereof, or by
completing a letter of Transmittal,
and by returning the full payment of
the subscription price for each
share of Common Stock.

This Subscription Rights Certificate is not valid unless countersigned by the subscription agent
and registered by the registrar.

Witness the signatures of the duly authorized officers of Energy Focus, Inc.

Date: October [___], 2009

	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	Chief Executive Officer
	 	 	 	Secretary

	 
	 	 	 	 	 	 	 	 
	COUNTERSIGNED:	 	 	 	COUNTERSIGNED:
	 
	 	 	 	 	 	 	 	 
	The BNY Mellon Shareowner Services,	 	 	 	The BNY Mellon Shareowner Services,
	Subscription Agent	 	 	 	Transfer Agent and Registrar
	 
	 	 	 	 	 	 	 	 
	By:

	 	 	 	 	 	By:	 	 
	 

	 	 
	 	 	 	 	 	 
	 

	 	     Authorized Signature
	 	 
	 	 	 	     Authorized Signature

1

 

DELIVERY OPTIONS FOR SUBSCRIPTION RIGHTS CERTIFICATE

Delivery other than in the manner or to one of the addresses listed below will not constitute valid delivery.

	 	 	 	 	 
	By Mail:

	 	By Hand:
	 	By Overnight Courier:
	Energy Focus, Inc.

	 	Energy Focus, Inc.
	 	Energy Focus, Inc.
	c/o BNY Mellon Shareowner Services

	 	c/o BNY Mellon Shareowner Services
	 	c/o BNY Mellon Shareowner Services
	Attn: [                    ] Dept.

	 	Attn: [                    ] Dept.
	 	Attention: [                    ] Dept.
	P.O. Box [                    ]

	 	[                    ,       Floor]
	 	[                    ,       Floor]
	Jersey City, New Jersey [          ]

	 	New York, New York [          ]
	 	Jersey City, New Jersey [          ]

	 	 	 
	Facsimile Transmission:
	 	To confirm receipts of
	(Eligible Institutions Only)
	 	facsimiles only:
	[     -     -          ]
	 	[     -     -          ]

PLEASE PRINT ALL INFORMATION CLEARLY AND LEGIBLY.

FORM 1-EXERCISE OF SUBSCRIPTION RIGHTS

To subscribe for shares pursuant to your Basic Subscription
Right, please complete lines (a) and (c) and sign under Form 3
below. To subscribe for shares pursuant to your
Over-Subscription Right, please also complete line (b) and sign
under Form 3 below. To the extent you subscribe for more shares
than you are entitled to under either the Basic Subscription
Right or the Over-Subscription Right, you will be deemed to
have elected to purchase the maximum number of shares for which
you are entitled to subscribe under the Basic Subscription
Right or Over-Subscription Right, as applicable.

(a) EXERCISE OF BASIC SUBSCRIPTION RIGHT:

I apply for          
           
 shares x $ [_.___] = $                    

(no. of new shares) (subscription price)     (amount enclosed)

(b) EXERCISE OF OVER-SUBSCRIPTION RIGHT

If you have exercised your Basic Subscription Right in full and
wish to subscribe for additional shares of Common Stock for
which you are entitled to subscribe pursuant to your
Over-Subscription Right:

I apply for                      shares x $ [_.___] = $                    

(no. of new shares) (subscription price)     (amount enclosed)

(c) Total Amount of Payment Enclosed = $                    

METHOD OF PAYMENT (CHECK ONE)

	o	 	Certified bank check or cashiers check drawn on a U.S.
bank payable to “BNYM, as Subscription Agent”, f/b/o Energy Focus, Inc.
	 
	o	 	Postal, telegraph, or money order payable to “BNYM, as Subscription Agent”, f/b/o Energy Focus, Inc.

	o	 	Wire transfer of immediately available funds
directly to the account maintained by BNYM, as
Subscription Agent, for purposes of accepting
subscriptions in this Rights Offering at [ ___Bank],
[Address], ABA #[___], Account # [___], BNYM f/b/o
Energy Focus, Inc., with reference to the rights holder’s
name.

FORM 2-DELIVERY TO DIFFERENT ADDRESS

If you wish that the Common Stock issued as a result of your
exercising your subscription rights be in a name, or reflect
an address, different from that shown on the face of this
Subscription Rights Certificate, please enter the different
name or the alternate address below, sign under Form 3 and
have your signature guaranteed under Form 4.

 

 

FORM 3-SIGNATURE

TO SUBSCRIBE: I acknowledge that I have received the
Prospectus for this Rights Offering and I hereby irrevocably
subscribe for the number of shares indicated above on the
terms and conditions specified in the Prospectus. By
signing below I confirm that if, after giving effect to the
exercise of my Rights and as determined in accordance with
Rule 13d-3 under the Securities Exchange Act of 1934, as
amended, I beneficially own more than 14.99% of the
outstanding shares of Common Stock (calculated immediately
upon the closing of the Rights Offering as described in the
Prospectus), I will promptly notify the Company in writing
of that fact and will not vote with respect to the number of
shares in excess of 14.99% for a ninety (90) day period in
order to allow the Company to take action to avoid a
distribution of rights under its Rights Agreement with
Mellon Shareowner Services, LLC as Rights Agent.

	 	 	 
	Signature(s):
	 	 
	 

	 	 

2

 

IMPORTANT: The signature(s) must correspond with the name(s) as
printed on the reverse of this Subscription Rights Certificate
in every particular, without alteration or enlargement, or any
other change whatsoever, unless the signature(s) is/are of (an)
assignee(s).

FORM 4-SIGNATURE GUARANTEE

This form must be completed if you have completed any portion
of Form 2.

	 	 	 
	Signature Guaranteed:
	 	 
	 

	 	 
	 

	 	(Name of Bank or Firm)

	 	 	 
	By:
	 	 
	 

	 	 
	 

	 	(Signature of Officer)

IMPORTANT: The signature(s) should be guaranteed by an eligible
guarantor institution (bank, stock broker, savings & loan
association, or credit union) with membership in an approved
signature guarantee medallion program pursuant to Securities
and Exchange Commission Rule 17Ad-15.

FORM 5-ASSIGNMENT

FOR VALUE RECEIVED, I hereby sell, assign, and transfer to

	 	 	 
	 

	 	 
	(Name of Assignee)

	 	(SSN or EIN of Assignee)
	 
	 	 
	 
	(Address of Assignee)
	 	 

                                         Rights
to Purchase Common Stock of the Company
represented by this Subscription Rights Certificate, and do
hereby irrevocably constitute and appoint the Assignee(s) as
Attorney(s) to transfer those Rights on the books of the Company with full power of substitution.

	 	 	 
	Signature(s):
	 
	 	 
	 

IMPORTANT: The signature(s) must correspond with the name(s)
as printed on the reverse of this Subscription Rights
Certificate in every particular, without alteration or
enlargement, or any other change whatsoever.

FOR INSTRUCTIONS ON THE USE OF ENERGY FOCUS, INC. SUBSCRIPTION RIGHTS CERTIFICATES, CONSULT THE
BANK OF NEW YORK MELLON SHAREOWNER SERVICES, THE INFORMATION AGENT, AT [___.___.___].

3EX-4.7

Exhibit 4.7

	Exhibit 4.7 FORM OF LETTER OF TRANSMITTAL LETTER OF TRANSMITTAL THIS LETTER OF TRANSMITTAL,
INCLUDING THE ACCOMPANYING INSTRUCTIONS, SHOULD BE READ CAREFULLY BEFORE THIS LETTER OF TRANSMITTAL
IS COMPLETED. Energy Focus, Inc. is conducting a rights offering (the “Rights Offering”) which
entitles the holders of shares of the Company’s stock (the “Stock”), as of the close of business on
October [ _], 2009 (the “Record Date”) to receive one right (each, a “Right”) for every share of
common stock held of record on the Record Date. Holders of Rights are entitled to subscribe for and
purchase one share of common stock for every Right (the “Basic Subscription Right”) at a
subscription price of $[ .—— ] per share. For a more complete description of the terms and
conditions of the Rights Offering, please refer to the Prospectus dated October [ _], 2009 (the
“Prospectus”), which is incorporated herein by reference. Copies of the Prospectus are available
upon request from The Bank of New York Mellon Shareowner Services, the subscription agent and
information agent ( — - ). I hereby irrevocably subscribe for the number of shares of Stock
indicated on the form upon the terms and conditions specified in the Prospectus relating thereto.
Receipt of the Prospectus is hereby acknowledged. Please complete the back if you would like to
transfer ownership of Stock, or request special mailing, or transfer ownership of Rights. By
signing below I confirm that if, after giving effect to the exercise of my Rights and as determined
in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended, I beneficially
own more than 14.99% of the outstanding shares of Common Stock (calculated immediately upon the
closing of the Rights Offering as described in the Prospectus), I will promptly notify the Company
in writing of that fact and will not vote with respect to the number of shares in excess of 14.99%
for a ninety (90) day period in order to allow the Company to take action to avoid a distribution
of rights under its Rights Agreement with Mellon Shareowner Services, LLC as Rights Agent. (1)
Signature: This form must be signed by the registered holder(s) exactly as their name(s) appears on
the certificate(s) or by person(s) authorized to sign on behalf of the registered holder(s) by
documents transmitted herewith. Signature of Stockholder Date Daytime Telephone # Signature of
Stockholder Date Daytime Telephone # (2) SUBSTITUTE FORM W-9 PLEASE CERTIFY YOUR TAXPAYER ID OR
SOCIAL SECURITY NUMBER BY SIGNING BELOW If the Taxpayer ID Number printed above is INCORRECT OR if
the space is BLANK write in the CORRECT number here. ????????? Under penalties of perjury, I
certify that: 1. The number shown on this form is my correct taxpayer identification number (or I
am waiting for a number to be issued to me), and 2. I am not subject to backup withholding because:
(a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue
Service (IRS) that I am subject to backup withholding as a result of failure to report all interest
or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and
3. I am a U.S. person (including a U.S. resident alien). Certification instructions. You must cross
out item 2 above if you have been notified by the IRS that you are currently subject to backup
withholding because you have failed to report all interest and dividends on your tax return.
Signature: Date: SEE INSTRUCTIONS ON THE REVERSE SIDE (3) ? BASIC SHARES SUBSCRIBED FOR WHOLE
SHARES (4) ? OVER-SUBSCRIPTION SHARES SUBSCRIBED FOR WHOLE SHARES Enclosed is my check for $ or I
have sent a wire transfer in that amount.

 

 

	(5) SUBSCRIBER CERTIFICATE # RECORD DATE SHARES RECORD DATE RIGHTS ENERGY FOCUS, INC.
SUBSCRIPTION FOR RIGHTS OFFERING RECORD DATE: OCTOBER [ ], 2009 A. Number of Shares subscribed for
through the basic subscription privilege (not to exceed one Share for each Right held): Shares B.
Number of Shares subscribed for through the over subscription privilege (no limit, except basic
subscription must be fully exercised): Shares C. Total Subscription Price (sum lines A and B
multiplied by $[ . ]): $ D. Method of Payment, check (1) or (2): ? (1) Certified or Cashier’s check
or money order payable to The Bank of New York Mellon Shareowner Services, or ? (2) Wire transfer
to The Bank of New York Mellon Shareowner Services If your funds are not received before 5:00 p.m.,
New York City time, November [ ], 2009, your request for Shares will not be accepted. HOW TO
CONTACT THE BANK OF NEW YORK MELLON SHAREOWNER SERVICES, SUBSCRIPTION AGENT By Telephone — 9 a.m.
to 6 p.m. New York City Time, Monday through Friday, except for bank holidays: From within the
U.S., Canada or Puerto Rico [1- — - ] (Toll Free) From outside the U.S. [1- — - ] (Collect)
SUBSCRIPTION TO PURCHASE SHARES OF ENERGY FOCUS, INC. RETURN TO: THE BANK OF NEW YORK MELLON
SHAREOWNER SERVICES WHERE TO FORWARD YOUR TRANSMITTAL MATERIALS By Mail: By Overnight Courier: By
Hand: Energy Focus, Inc. Energy Focus, Inc. Energy Focus, Inc. c/o BNY Mellon Shareowner Services
c/o BNY Mellon Shareowner Services c/o BNY Mellon Shareowner Services Attn: [ ] Dept. Attn: [ ]
Dept. Attn: [ ] Dept. P.O. Box [ ] [ , Floor] [ , Floor] Jersey City, New Jersey [ ] Jersey City,
New Jersey [ ] New York, New York [ ] Facsimile Transmission: To confirm receipts of (Eligible
Institutions Only) facsimiles only: [ — - ] [ — - ] THIS RIGHTS OFFERING EXPIRES AT 5:00 P.M., NEW
YORK CITY TIME, ON NOVEMBER [ ], 2009 AND THIS LETTER OF TRANSMITTAL IS VOID THEREAFTER. (6)
SPECIAL TRANSFER INSTRUCTIONS If you want your Energy Focus, Inc. stock to be issued in another
name, fill in this section with the information for the new Signature Guarantee account name.
Medallion: Name (Print First, Middle, Last) (Title of Officer Signing) Address (Number and Street)
(Print Name of Guarantor) City, State & Zip Code (Address of Guarantor) Tax ID or Social Security
Number (7) SPECIAL MAILING INSTRUCTIONS Fill in ONLY if mailing to someone other than the
undersigned or to the undersigned at an address other than that shown on the front of this card.
Mail notification(s) and check(s) to: Name (Print First, Middle, Last) Address (Number and Street)
City, State & Zip Code

 

 

	(8) ASSIGNMENT FOR VALUABLE RECEIVED, I hereby sell, assign, and transfer to (Name of
Assignee) (SSN of Assignee) (Address of Assignee) Rights to purchase Common Stock of the Company
represented by this Letter of Transmittal, and do hereby irrevocably constitute and appoint the
Assignee(s) as Attorney(s) to transfer those Rights on the books of the Company with full power of
substitution. Signature(s): IMPORTANT: The signature(s) must correspond with the name(s) as printed
on the reverse of this Letter of Transmittal in every particular, without alternation or
enlargement, or any other change whatsoever. Signature Guarantee Medallion: (Title of Officer
Signing) (Print Name of Guarantor (Address of Guarantor) COMPLETE ALL APPLICABLE SECTIONS OF THIS
FORM USING THE INSTRUCTIONS BELOW. (1) Sign and date Box 1 and include your day time phone number.
(2) PLEASE SIGN IN BOX 2 TO CERTIFY YOUR TAXPAYER ID OR SOCIAL SECURITY NUMBER if you are a U.S.
Taxpayer. If the Taxpayer ID or Social Security Number is incorrect or blank, write the corrected
number in Box 2 and sign to certify. Please note that Mellon Investor Services may withhold 28% of
your proceeds as required by the IRS if the Taxpayer ID or Social Security Number is not certified
on our records. If you are a non — U.S. Taxpayer, please complete and return form W-8BEN. (3) Place
an ? in the box and fill in the number of whole shares you wish to subscribe for under your basic
subscription privilege. (4) Place an ? in the box and fill in the number of whole shares you wish
to over subscribe for your over subscription privileges. (No limit, except basic subscription must
be fully exercised.) (5) Rights card and calculation section for determining your basic/over
subscription privileges. (6) If you want your Energy Focus, Inc. stock and any refund check to be
issued in another name, complete the Special Transfer Instructions in Box 6. Signature(s) in Box 6
must be medallion guaranteed. (7) Fill in Box 7 if, mailing to someone other than the undersigned
or to the undersigned at an address other than that shown on the front of this card. (8) If you
want to transfer your Rights, complete Box 8. Signature(s) in Box 8 must be medallion guaranteed.
THIS RIGHTS OFFERING HAS BEEN REGISTERED UNDER THE FEDERAL LAWS OF THE UNITED STATES AND IS
BELIEVED TO BE NOT SUBJECT TO REGISTRATION OR QUALIFICATION, OR EXEMPTION THEREFROM, UNDER THE LAWS
OF THE STATES OF THE UNITED STATES. RESIDENTS OR OTHER JURISDICTIONS MAY NOT PURCHASE THE
SECURITIES OFFERED HEREBY UNLESS THEY CERTIFY THAT THEIR PURCHASES OF SUCH SECURITIES ARE EFFECTED
IN ACCORDANCE WITH THE APPLICABLE LAWS OF SUCH JURISDICTIONS. THIS RIGHTS OFFERING EXPIRES AT 5:00
P.M., NEW YORK CITY TIME, ON NOVEMBER [ ], 2009 AND THIS LETTER OF TRANSMISSION IS VOID THEREAFTER.

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