Amended Statement of Changes in Beneficial Ownership (4/a)
June 19 2015 - 5:52PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Wagner Leon
|
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
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
1830 PENN STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/26/2011
|
(Street)
MELBOURNE, FL 32901
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
5/23/2011
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
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
|
Common Stock
|
1/26/2011
(1)
|
|
P
|
|
634394
|
A
|
$3.30
|
701061
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Explanation of Responses:
|
(
1)
|
This transaction was previously reported on a Form 4 filed on May 23, 2011 (the "Original Form 4"). In addition to this transaction, the Original Form 4 erroneously reported that the reporting person may be deemed to be the beneficial owner of 60,000, 45,000 and 15,000 shares of common stock, par value $0.001 per share (each, a "Share") of Lighting Science Group Corporation (the "Issuer") purchased by Leon Wagner 2011 Trust No. 1, Leon Wagner 2011 Trust No. 2 and Leon Wagner 2011 Trust No. 3, respectively, on January 26, 2011. This Form 4/A amends the Original Form 4 in order to correct the aggregate holdings of the reporting person following the transaction reported above and to remove the erroneous references to Shares purchased by Leon Wagner 2011 Trust No. 1, Leon Wagner 2011 Trust No. 2 and Leon Wagner 2011 Trust No. 3.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Wagner Leon
1830 PENN STREET
MELBOURNE, FL 32901
|
X
|
|
|
|
Signatures
|
/s/ Leon Wagner
|
|
6/19/2015
|
**
Signature of Reporting Person
|
Date
|
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.
|
Lighting Science (CE) (USOTC:LSCG)
Historical Stock Chart
From Mar 2024 to Apr 2024
Lighting Science (CE) (USOTC:LSCG)
Historical Stock Chart
From Apr 2023 to Apr 2024