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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Lighting Science Group Corporation (CE) | USOTC:LSCG | OTCMarkets | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.000001 | 0.00 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
COGUT CRAIG M |
2. Issuer Name
and
Ticker or Trading Symbol
LIGHTING SCIENCE GROUP CORP [ LSCG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
C/O PEGASUS CAPITAL ADVISORS, L.P., 99 RIVER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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COS COB, CT 06807 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series J Convertible Preferred Stock | $0.95 (1) (2) | 4/24/2017 | A (1) (2) | 4400 | (1) (2) | (1) (2) | Common Stock | (1) (2) | (1) (2) | 90336 | I | See Footnotes (3) (4) (5) (6) | |||
Common Stock Warrants (right to buy) | $0.001 (1) (2) | 4/24/2017 | A (1) (2) | 4400 | 4/24/2017 | (1) (2) | Common Stock | (1) (2) | (1) (2) | 4400 | I | See Footnotes (3) (4) (5) (6) |
Remarks:
Craig Cogut, as well as other representatives of the reporting persons, are directors of Lighting Science Group Corporation (the "Issuer"). For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the reporting persons are deemed directors by deputization by virtue of their representation on the Board of Directors of the Issuer. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
COGUT CRAIG M
C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB, CT 06807 |
X | X |
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PEGASUS CAPITAL LLC
C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB, CT 06807 |
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X |
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Pegasus Investors V (GP), L.L.C.
C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB, CT 06807 |
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X |
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Pegasus Investors V, L.P.
C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB, CT 06807 |
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X |
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Pegasus Partners V, L.P.
C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB, CT 06807 |
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X |
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LSGC Holdings III LLC
C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB, CT 06807 |
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X |
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Signatures
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CRAIG COGUT, Name: /s/ Craig Cogut | 4/26/2017 | |
** Signature of Reporting Person |
Date
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PEGASUS CAPITAL, LLC, Name: /s/ Craig Cogut, Title: President & Managing Member | 4/26/2017 | |
** Signature of Reporting Person |
Date
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PEGASUS INVESTORS V (GP), L.L.C., Name: /s/ Daniel Stencel, Title: Chief Financial Officer and Treasurer | 4/26/2017 | |
** Signature of Reporting Person |
Date
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PEGASUS INVESTORS V, L.P., By: Pegasus Investors V (GP), L.L.C., its general partner, Name: /s/ Daniel Stencel, Title: Chief Financial Officer and Treasurer | 4/26/2017 | |
** Signature of Reporting Person |
Date
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PEGASUS PARTNERS V, L.P., By: Pegasus Investors V, L.P., its general partner, By: Pegasus Investors V (GP), L.L.C., its general partner, Name: /s/ Daniel Stencel, Title: Chief Financial Officer and Treasurer | 4/26/2017 | |
** Signature of Reporting Person |
Date
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LSGC HOLDINGS III LLC, By: Pegasus Partners V, L.P., its sole member, By: Pegasus Investors V, L.P., its general partner, By: Pegasus Investors V (GP), L.L.C., its general partner, Name: /s/ Daniel Stencel, Title: Chief Financial Officer and Treasurer | 4/26/2017 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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