Filing Details
- Accession Number:
- 0001181431-10-022385
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-21 13:00:00
- Reporting Period:
- 2010-04-19
- Filing Date:
- 2010-04-21
- Accepted Time:
- 2010-04-21 18:16:44
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
866970 | Lighting Science Group Corp | LSCG | Electric Lighting & Wiring Equipment (3640) | 232596710 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1488604 | W Michael Kempner | Building 2A 1227 South Patrick Drive Satellite Beach FL 32937 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Series D Non-Convertible Preferred Stock | Acquisiton | 2010-04-19 | 99,403 | $100,000.00 | 99,403 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Units | Option (Right to Buy) | Acquisiton | 2010-04-19 | 99,403 | $0.00 | 99,403 | $1.01 |
Common Stock | Common Stock Warrants | Acquisiton | 2010-04-19 | 99,403 | $100,000.00 | 99,403 | $6.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
99,403 | 2010-04-19 | 2010-04-19 | No | 4 | J | Direct |
99,403 | 2010-04-19 | No | 4 | P | Direct |
Footnotes
- In accordance with the rights granted to Pegasus Partners IV, L.P. ("Pegasus Partners") in the convertible note agreement, dated August 27, 2009, between the Issuer and Pegasus Partners, Pegasus Partners assigned its option regarding 99,403 Units to the Reporting Person. The option for 99,403 Units was assigned to the Reporting Person for no consideration.
- Each Unit is made up of (i) one share of Series D Non-Convertible Preferred Stock and (ii) a Warrant to purchase one share of the Issuer's common stock. The Warrants are immediately exercisable after issuance at an exercise price of $6.00 and expire on the twelfth anniversary of the issuance date.
- The Warrants expire on the twelfth anniversary of the issuance date.