Energy Focus, Inc (EFOI) shareholders
EFOINasdaqElectric Lighting & Wiring EquipmentFiscal year ends December 31
Financials through Q3 FY2026, quarter ended Sep 30, 2026Last filing: 10-Q on Nov 10, 2026Score 5/3074% above fair value
$4.44−0.06 (-1.33%)
Close on Nov 13, 2026Market cap $28.28MP/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
3.1%
0M of 6M shares
Institutional holders
16
4 new, 2 sold out
Net institutional buying
0M
In Q2 2026
Insider trades, 12 months
1 buys · 0 sales
Net bought $600.00K
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Huang Chiao Chieh Joint filing with Sander Electronic Co., Ltd. (9.20%) | 1,998,599 | 31.90% | 13D (active) | Jan 17, 2023 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of EFOI | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Vanguard Capital Management LLC | 43,332 | 0.68% | $143.00K | – | 0.00% |
| Heck Capital Advisors, LLC | 35,297 | 0.55% | $116.48K | New | 0.01% |
| Renaissance Technologies LLC | 33,398 | 0.52% | $110.21K | +23,098 | 0.00% |
| Geode Capital Management, LLC | 29,451 | 0.46% | $97.19K | −6,144 | 0.00% |
| Vanguard Fiduciary Trust Co | 19,745 | 0.31% | $65.16K | – | 0.00% |
| State Street Corp | 13,816 | 0.22% | $45.59K | New | 0.00% |
| Citadel Advisors LLC | 12,705 | 0.20% | $41.93K | New | 0.00% |
| BlackRock, Inc. | 3,296 | 0.05% | $10.88K | – | 0.00% |
| UBS Group AG | 3,256 | 0.05% | $10.75K | +3,215 | 0.00% |
| Tower Research Capital LLC (TRC) | 2,836 | 0.04% | $9.36K | +871 | 0.00% |
| Morgan Stanley | 2,463 | 0.04% | $8.13K | +2,000 | 0.00% |
| FMR LLC | 287 | 0.00% | $946 | New | 0.00% |
| Royal Bank of Canada | 175 | 0.00% | $1.00K | +162 | 0.00% |
| BankPlus Trust Department | 45 | 0.00% | $149 | – | 0.00% |
| Federation des caisses Desjardins du Quebec | 8 | 0.00% | $26 | – | 0.00% |
| Country Trust Bank | 4 | 0.00% | $13 | – | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | % of shares | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 16 | 0M | 3.1% | 4 / 5 | 1 / 2 | 0M | 0M |
| Q1 2026 | 14 | 0M | 1.8% | 3 / 2 | 3 / 3 | 0M | 0M |
| Q4 2025 | 17 | 0M | 2.1% | 5 / 3 | 0 / 3 | 0M | 0M |
| Q3 2025 | 15 | 0M | 1.8% | 3 / 1 | 4 / 2 | 0M | 0M |
| Q2 2025 | 14 | 0M | 1.7% | 4 / 2 | 2 / 0 | 0M | 0M |
| Q1 2025 | 10 | 0M | 1.7% | 0 / 3 | 2 / 0 | 0M | 0M |
| Q4 2024 | 10 | 0M | 0.8% | 1 / 1 | 3 / 1 | 0M | 0M |
| Q3 2024 | 10 | 0M | 1.0% | 1 / 2 | 3 / 1 | 0M | 0M |
| Q2 2024 | 11 | 0M | 1.0% | 3 / 2 | 1 / 2 | 0M | 0M |
| Q1 2024 | 10 | 0M | 0.5% | 1 / 2 | 2 / 2 | 0M | 0M |
| Q4 2023 | 11 | 0M | 0.7% | 1 / 4 | 1 / 0 | 0M | 0M |
| Q3 2023 | 10 | 0M | 0.9% | 1 / 3 | 1 / 0 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
9 funds held EFOI in Q2 2026, 64% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of EFOI | Value | % of fund | As of |
|---|---|---|---|---|---|
| Vanguard Extended Market Index Fund | 43,332 | 0.68% | $143.00K | 0.00% | Jun 30, 2026 |
| Fidelity Extended Market Index Fund | 16,128 | 0.25% | $59.19K | 0.00% | May 31, 2026 |
| Fidelity Series Total Market Index Fund | 4,858 | 0.08% | $17.83K | 0.00% | May 31, 2026 |
| U.S. Core Equity 1 Portfolio | 3,712 | 0.06% | $11.32K | 0.00% | Jul 31, 2026 |
| Dimensional US Core Equity 1 ETF | 3,205 | 0.05% | $9.78K | 0.00% | Jul 31, 2026 |
| U.S. Social Core Equity 2 Portfolio | 910 | 0.01% | $2.78K | 0.00% | Jul 31, 2026 |
| Fidelity Nasdaq Composite Index Fund | 588 | 0.01% | $2.16K | 0.00% | May 31, 2026 |
| Fidelity Total Market Index Fund | 160 | 0.00% | $587 | 0.00% | May 31, 2026 |
| Blackstone Alternative Multi-Strategy Fund | -7 | -0.00% | -$23 | -0.00% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | % of shares | Latest filing |
|---|---|---|---|---|
| Chiao Chieh Huang | Chief Executive Officer, Director, 10% owner | 1,998,599 | 31.38% | Dec 31, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Chiao Chieh Huang Chief Executive Officer, Director, 10% owner | Nov 26, 2025 | Buy | +262,009 | $2.29 | $600.00K | 1,421,219 |
| Chiao Chieh Huang Chief Executive Officer, Director, 10% owner | Aug 15, 2025 | Buy | +264,550 | $1.89 | $500.00K | 1,159,210 |
| Chiao Chieh Huang Chief Executive Officer, Director, 10% owner | Jun 23, 2025 | Buy | +110,497 | $1.81 | $200.00K | 894,660 |
| Chiao Chieh Huang Chief Executive Officer, Director, 10% owner | Mar 27, 2025 | Buy | +103,627 | $1.93 | $200.00K | 784,163 |
| Chiao Chieh Huang Director, 10% owner | Jun 29, 2023 | Award | +343,465 | $1.76 | $604.50K | 680,536 |
| Gina Huang Director, 10% owner | Mar 30, 2023 | Award | +500,000 | $0.50 | $250.00K | 3,720,242 |
| Chiao Chieh Huang Director, 10% owner | Mar 28, 2023 | Award | +108,502 | $0.56 | $60.76K | 2,659,017 |
| Gina Huang Director, 10% owner | Feb 24, 2023 | Award | +803,212 | $0.50 | $401.61K | 3,220,242 |
| Gina Huang Director, 10% owner | Jan 17, 2023 | Award | +1,451,597 | $0.56 | $812.89K | 2,417,030 |
| Gina Huang Director, 10% owner | Jan 10, 2023 | Award | +325,803 | $0.46 | $149.87K | 965,433 |
| Gina Huang Director, 10% owner | Jan 5, 2023 | Award | +257,798 | $0.39 | $100.54K | 639,630 |
| James Raymond Warren III SVP, GC & Corp. Secretary | Sep 28, 2022 | Option exercise | +800 | – | – | 1,600 |
| Philip Politziner Director | Jun 22, 2022 | Option exercise | +5,000 | – | – | 31,400 |
| Jennifer Y. Cheng Director | Jun 22, 2022 | Option exercise | +5,000 | – | – | 22,000 |
| Brian J. Lagarto Director | Jun 22, 2022 | Option exercise | +10,000 | – | – | 10,000 |
| International Co Ltd. Jag 10% owner | Jun 22, 2022 | Option exercise | +5,000 | – | – | 381,832 |
| Stephen Socolof Chairman and Interim CEO, Director | Jun 22, 2022 | Option exercise | +5,000 | – | – | 25,500 |
| Jeffery Robert Parker Director | Jun 22, 2022 | Option exercise | +10,000 | – | – | 10,000 |
| James Raymond Warren III SVP, GC & Corp. Secretary | Sep 28, 2021 | Option exercise | +800 | – | – | 800 |
| Philip Politziner Director | Aug 25, 2021 | Buy | +3,000 | $3.35 | $10.05K | 26,400 |
| Stephen Socolof Director | Aug 18, 2021 | Buy | +3,500 | $2.80 | $9.80K | 20,500 |
| James Tu Chairman and CEO, Director, 10% owner | Aug 16, 2021 | Buy | +5,000 | $2.70 | $13.50K | 249,851 |
| Stephen Socolof Director | May 26, 2021 | Option exercise | +10,000 | – | – | 17,000 |
| Philip Politziner Director | May 26, 2021 | Option exercise | +10,000 | – | – | 23,400 |
| Gina Huang Director, 10% owner | May 26, 2021 | Option exercise | +10,000 | – | – | 376,832 |
| Geraldine McManus Director | May 26, 2021 | Option exercise | +10,000 | – | – | 17,000 |
| Jennifer Y. Cheng Director | May 26, 2021 | Option exercise | +10,000 | – | – | 17,000 |
| Brilliant Start Enterprise, Inc. 10% owner | Apr 1, 2021 | Conversion | +344,205 | – | – | 611,683 |
| Tod A. Nestor President, CFO | Dec 28, 2020 | Option exercise | +10,625 | $2.10 | $22.31K | 45,432 |
| Geraldine McManus Director | Sep 17, 2020 | Option exercise | +3,000 | – | – | 7,000 |
| Jennifer Y. Cheng Director | Sep 17, 2020 | Option exercise | +3,000 | – | – | 7,000 |
| Philip Politziner Director | Sep 17, 2020 | Option exercise | +3,000 | – | – | 13,400 |
| Stephen Socolof Director | Sep 17, 2020 | Option exercise | +3,000 | – | – | 7,000 |
| International Co Ltd. Jag 10% owner | Sep 17, 2020 | Option exercise | +4,000 | – | – | 207,478 |
| Tod A. Nestor President, CFO | Apr 15, 2020 | Buy | +42,470 | $0.37 | $15.71K | 150,000 |
| Tod A. Nestor President, CFO | Apr 14, 2020 | Buy | +55,830 | $0.37 | $20.66K | 107,530 |
| Philip Politziner Director | Apr 13, 2020 | Buy | +32,000 | $0.31 | $9.92K | 52,000 |
| Tod A. Nestor President, CFO | Apr 13, 2020 | Buy | +51,700 | $0.32 | $16.54K | 51,700 |
| Jennifer Y. Cheng Director | Dec 17, 2019 | Option exercise | +8,290 | – | – | 20,000 |
| Stephen Socolof Director | Dec 17, 2019 | Option exercise | +5,032 | – | – | 20,000 |
| Geraldine McManus Director | Dec 17, 2019 | Option exercise | +8,290 | – | – | 20,000 |
| Jennifer Y. Cheng Director | Nov 12, 2019 | Award | +11,710 | – | – | 11,710 |
| Stephen Socolof Director | Nov 12, 2019 | Award | +14,968 | – | – | 14,968 |
| Geraldine McManus Director | Nov 12, 2019 | Award | +11,710 | – | – | 11,710 |
| Philip Politziner Director | Nov 12, 2019 | Award | +20,000 | – | – | 20,000 |
| Geraldine McManus Director | Jun 19, 2019 | Option exercise | +8,290 | – | – | 8,290 |
| Stephen Socolof Director | Jun 19, 2019 | Option exercise | +5,032 | – | – | 5,032 |
| Jennifer Y. Cheng Director | Jun 19, 2019 | Option exercise | +8,290 | – | – | 8,290 |
| Michael Rush Ramelot Director | Jun 19, 2019 | Option exercise | +15,000 | – | – | 47,927 |
| Ted L. Tewksbury III Chairman, CEO & President, Director | Feb 27, 2019 | Tax withholding | −6,738 | $1.21 | $8.15K | 95,934 |
| Ted L. Tewksbury III Chairman, CEO & President, Director | Feb 27, 2019 | Option exercise | +16,481 | – | – | 102,672 |
| Ted L. Tewksbury III Chairman, CEO & President, Director | Feb 26, 2019 | Option exercise | +55,100 | – | – | 108,561 |
| Ted L. Tewksbury III Chairman, CEO & President, Director | Feb 26, 2019 | Tax withholding | −22,370 | $1.14 | $25.50K | 86,191 |
| Jerry Turin CFO and Secretary | Dec 31, 2018 | Award | +6,906 | $0.53 | $3.66K | 6,906 |
| Ted L. Tewksbury III Chairman, CEO & President, Director | Jun 29, 2018 | Award | +5,081 | $1.62 | $8.23K | 53,461 |
| Satish Rishi Director | Jun 20, 2018 | Option exercise | +3,169 | – | – | 3,169 |
| Glenda Dorchak Director | Jun 20, 2018 | Option exercise | +18,443 | – | – | 32,427 |
| Ronald D. Black Director | Jun 20, 2018 | Option exercise | +18,443 | – | – | 32,427 |
| Michael Rush Ramelot Director | Jun 20, 2018 | Option exercise | +18,443 | – | – | 32,927 |
| Marc Eisenberg Director | Jun 20, 2018 | Option exercise | +18,443 | – | – | 32,427 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of float
1.10%
0M shares short
Days to cover
1.0
At 0M shares a day
Change since last report
-51.6%
From 0M shares
Short volume, 20 days
52.9%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Energy Focus's stock actually held short. Settlement fails (shares not delivered on time) peaked at 29,164 shares on Aug 19, 2026 over the last 90 days.
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