Item 5.07 Submission of Matters to a Vote of Security Holders.
Energy Focus, Inc. (the "Company") held its 2021 Annual Meeting of Stockholders
(the "Annual Meeting") on May 26, 2021. Set forth below are the three proposals
that were voted on at the Annual Meeting and the shareholder votes on each such
proposal, as certified by the inspector of elections for the Annual Meeting.
These proposals are described in further detail in the Company's Definitive
Proxy Statement filed with the Securities and Exchange Commission on April 13,
2021.
As of April 1, 2021 the record date for the Annual Meeting, there were 4,027,021
shares of the Company's common stock (entitled to one vote per share) and
876,447 shares of the Company's Series A Convertible Preferred Stock (entitled
to 0.11074 of a vote per share) issued, outstanding and entitled to vote. Shares
of the Company's common stock and Series A Convertible Preferred Stock
representing 57.53% of the voting power of the Company's stockholders were
represented at the meeting.
With respect to the proposals, the results of the voting were as follows:
Proposal 1: Election of Directors
Director Nominees For Withheld Broker Non-Votes
Jennifer Cheng 1,169,747 52,351 1,150,788
Gina Huang (Mei Yun Huang) 1,143,468 78,630 1,150,788
Geraldine McManus 1,021,235 200,863 1,150,788
Philip Politziner 1,193,616 24,482 1,150,788
Stephen Socolof 1,144,215 77,883 1,150,788
James Tu 1,189,830 32,268 1,150,788
The six Directors listed above were elected to serve until the next annual
meeting or until their respective successors are duly elected or appointed.
Proposal 2: Ratification of the appointment of GBQ Partners LLC as the Company's
independent registered public accounting firm for the year ending December 31,
2021
For Against Abstain
2,318,524 41,497 12,865
Proposal 3: Approval, on an advisory basis, of the compensation of our named
executive officers
For Against Abstain Broker Non-Votes
1,108,511 77,152 36,435 1,150,788
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