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| CIK | 866970 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Lighting Science Group Corporation
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| July 14, 2017 |
Lighting Science Group FORM 15-12G lscg201707141512g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-20354 LIGHTING SCIENCE GROUP CORPORATION (Exact n |
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| July 7, 2017 |
lscg201707068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 30, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-2 |
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| June 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 9, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-20354 (Commission Fil |
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| May 26, 2017 |
Lighting Science Group FORM SD lscg20170524sd.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT LIGHTING SCIENCE GROUP CORPORATION (Exact Name of Registrant as Specified in Charter) Commission file number: 0-20354 Delaware 23-2596710 (State or other jurisdiction of incorporation) (I.R.S. Employer Identification Number) 1350 Division Road, Suite 204 West Warwick, RI |
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| May 26, 2017 |
EX-1.01 2 ex1-01.htm EXHIBIT 1.01 Exhibit 1.01 Conflict Minerals Report of Lighting Science Group Corporation for the Reporting Period January 1, 2016 to December 31, 2016 Introduction This Conflict Minerals Report (this “Report”) has been prepared by management of Lighting Science Group Corporation (herein referred to as “LSGC”, “we”, or the “Company”) for the reporting period from January 1, 201 |
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| May 15, 2017 |
OPERATING AGREEMENT GLOBAL VALUE LIGHTING, LLC (the “Company”) ex10-5.htm Exhibit 10.5 OPERATING AGREEMENT OF GLOBAL VALUE LIGHTING, LLC (the “Company”) This OPERATING AGREEMENT OF GLOBAL VALUE LIGHTING, LLC (this “Agreement”) is entered into as of the 20th day of March, 2017, by and among LSG MLS JV HOLDINGS, INC., a Delaware corporation (“SPV”) and a subsidiary of LIGHTING SCIENCE GROUP CORPORATION (“LSG”), and MLS CO., LTD., a company organized under the l |
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| May 15, 2017 |
LSCG / Lighting Science Group Corp. FORM 10-Q (Quarterly Report) 10-Q 1 lscg2017033110q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File N |
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| May 11, 2017 |
Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Other Events 8-K 1 lscg201705108k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 8, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorpo |
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| May 8, 2017 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 d394238dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 50)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P |
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| May 1, 2017 |
LSCG / Lighting Science Group Corp. FORM 10-K/A (Annual Report) 10-K/A 1 lscg2017042810ka.htm FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-K/A Amendment No. 1 ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-20354 L |
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| April 27, 2017 |
ex10-1.htm Exhibit 10.1 April 24, 2017 LSGC Holdings III LLC c/o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06807 Attention: Chief Financial Officer RE: Amendment No. 1 to Series J Preferred Stock Subscription Agreement Ladies and Gentlemen: This Amendment No. 1 (this “Amendment”) is made to that certain Series J Preferred Stock Subscription Agreement (the “Subscription Agreement”), |
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| April 27, 2017 |
8-K 1 lscg201704278k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 24, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of inco |
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| April 27, 2017 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 49)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06 |
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| April 14, 2017 |
ex21-1.htm Exhibit 21.1 Subsidiaries of the Company The following is a list of subsidiaries of the Company as of December 31, 2016: Name State or Sovereign Power of Incorporation Lighting Science Group B.V. The Netherlands Lighting Science Coöperatief U.A. The Netherlands Lighting Science Group Mexico S. de R.L. de C.V. Mexico LSGC LLC Delaware Biological Illumination, LLC Delaware Lighting Scien |
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| April 14, 2017 |
LSCG / Lighting Science Group Corp. FORM 10-K (Annual Report) lscg2016123110k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-20354 Lighting Science Group Corporation (Exact |
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| March 31, 2017 |
Lighting Science Group FORM NT 10-K lscg20170331nt10k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ?Form 11-K ? Form 10-Q ?Form N-SAR ? Form N-CSR For Period Ended: December 31, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition |
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| March 31, 2017 |
Lighting Science Group FORM S-8 POS S-8 POS 1 lscg20170331bs8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on March 31, 2017 Registration No. 333-172466 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its cha |
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| March 31, 2017 |
Lighting Science Group FORM S-8 POS lscg20170331s8pos.htm As filed with the Securities and Exchange Commission on March 31, 2017 Registration No. 333-199186 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 3640 23-2 |
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| March 24, 2017 |
Lighting Science Group FORM 8-K (Current Report/Significant Event) lscg201703248k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 20, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000- |
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| March 20, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits lscg201703208k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 20, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000- |
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| March 20, 2017 |
ex99-1.htm Exhibit 99.1 CONTACT: Dustin O’Neal Alexandra Polier FOR IMMEDIATE RELEASE [email protected] | 917-693-2768 LIGHTING SCIENCE ANNOUNCES TRANSFORMATIVE JOINT VENTURE WITH CHINESE LED MANUFACTURER AND LIGHTING COMPANY MLS Organizations Combine Strengths to Create Best-In-Class Private-Label LED Lighting Business West Warwick, RI (March 20, 2017) - Lighting Science®, a global leader in next-ge |
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| February 10, 2017 |
PURCHASE OPTION EXERCISE AGREEMENT EX-99.30 Exhibit 30 Execution Version PURCHASE OPTION EXERCISE AGREEMENT PURCHASE OPTION EXERCISE AGREEMENT, dated as of February 3, 2017 (this “Exercise Agreement”), among RIVERWOOD CAPITAL PARTNERS L.P., a Cayman Islands exempted limited partnership (“RCP”), LSGC HOLDINGS III LLC, a Delaware limited liability company (“Buyer”), RW LSG Holdings, LLC, a Delaware limited liability company (“RW LSG |
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| February 10, 2017 |
LSCG / Lighting Science Group Corp. / Riverwood Capital Partners L.P. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Mei Liang Riverwood Capital Partners L.P. 70 Willow Road, Suite 100 Menlo Park, CA 94025 (650) 6 |
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| February 9, 2017 |
ex10-2.htm Exhibit 10.2 February 3, 2017 Cleantech Europe II (A), L.P. Cleantech Europe II (B), L.P. c/o Zouk Ventures Limited 100 Brompton Road London, SW3 1 ER United Kingdom RE: Board Observer and Information Rights Ladies and Gentlemen: This letter agreement (this ?Letter Agreement?) confirms the agreement among Lighting Science Group Corporation (the ?Company?), Cleantech Europe II (A), L.P. |
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| February 9, 2017 |
SEVENTH AMENDMENT AND LIMITED CONENT TO TERM LOAN AGREEMENT ex1.htm Exhibit 10.1 SEVENTH AMENDMENT AND LIMITED CONENT TO TERM LOAN AGREEMENT This SEVENTH AMENDMENT AND LIMITED CONSENT TO TERM LOAN AGREEMENT (this ?Amendment?), is entered into as of February 3, 2017, by and among Lighting Science Group Corporation, a Delaware corporation (the ?Borrower?), the Lenders (as defined below) signatory hereto, and Medley Capital Corporation, a Delaware corporation |
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| February 9, 2017 |
8-K 1 lscg201702088k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 3, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of in |
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| February 9, 2017 |
EX-99.6 Exhibit 99.6 EXECUTION EQUITY PURCHASE AGREEMENT by and among PORTMAN LIMITED LSGC HOLDINGS III LLC and LIGHTING SCIENCE GROUP CORPORATION, for the purposes set forth herein Dated: February 3, 2017 ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE AND TERMINATION 3 Section 2.1 Purchase and Sale of the Purchased Shares 3 Section 2.2 Termination and Surrender of the Warrants 4 Section 2.3 |
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| February 9, 2017 |
PURCHASE OPTION EXERCISE AGREEMENT EX-99.4 Exhibit 99.4 PURCHASE OPTION EXERCISE AGREEMENT PURCHASE OPTION EXERCISE AGREEMENT, dated as of February 3, 2017 (this “Exercise Agreement”), among RIVERWOOD CAPITAL PARTNERS L.P., a Cayman Islands exempted limited partnership (“RCP”), LSGC HOLDINGS III LLC, a Delaware limited liability company (“Buyer”), RW LSG Holdings, LLC, a Delaware limited liability company (“RW LSG Holdings”) and RW |
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| February 9, 2017 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.1 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby confirm the agreement by and among them to the joint filing on behalf of them of a Statement on Schedule 13D and any and all amendments thereto with respect to the securities referenced in such statement, as amended |
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| February 9, 2017 |
EX-99.7 Exhibit 99.7 EXECUTION EQUITY PURCHASE AGREEMENT by and among CLEANTECH EUROPE II (A) LP LSGC HOLDINGS III LLC SERENGETI OPPORTUNITIES MM L.P. and LIGHTING SCIENCE GROUP CORPORATION, for the purposes set forth herein Dated: February 3, 2017 ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE AND TERMINATION 4 Section 2.1 Purchase and Sale of the Purchased Shares 4 Section 2.2 Termination |
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| February 9, 2017 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 48)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06807 (203) |
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| February 9, 2017 |
EX-99.8 Exhibit 99.8 EXECUTION EQUITY PURCHASE AGREEMENT by and among CLEANTECH EUROPE II (B) LP LSGC HOLDINGS III LLC and LIGHTING SCIENCE GROUP CORPORATION, for the purposes set forth herein Dated: February 3, 2017 ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE AND TERMINATION 3 Section 2.1 Purchase and Sale of the Purchased Shares 3 Section 2.2 Termination and Surrender of the Warrants 4 |
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| February 9, 2017 |
EX-99.5 Exhibit 99.5 EXECUTION EQUITY PURCHASE AGREEMENT by and between LSGC HOLDINGS III LLC and VANTAGEPOINT VENTURE PARTNERS 2006 (Q), L.P. and VANTAGEPOINT CLEANTECH PARTNERS II, L.P. Dated: February 3, 2017 ARTICLE I DEFINITIONS 2 ARTICLE II PURCHASE AND SALE 4 Section 2.1 Purchase and Sale of the Purchased Equity 4 Section 2.2 Purchase Price 4 Section 2.3 Closing 4 ARTICLE III DELIVERIES AND |
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| February 2, 2017 |
SERIES J PREFERRED STOCK SUBSCRIPTION AGREEMENT ex10-1.htm Exhibit 10.1 SERIES J PREFERRED STOCK SUBSCRIPTION AGREEMENT THIS SERIES J PREFERRED STOCK SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on January 27, 2017, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”), and the person(s) (the “Purchasers”) listed o |
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| February 2, 2017 |
SIXTH AMENDMENT AND LIMITED CONENT TO TERM LOAN AGREEMENT ex10-2.htm Exhibit 10.2 Execution Version SIXTH AMENDMENT AND LIMITED CONENT TO TERM LOAN AGREEMENT This SIXTH AMENDMENT AND LIMITED CONSENT TO TERM LOAN AGREEMENT (this ?Amendment?), is entered into as of January 27, 2017, by and among Lighting Science Group Corporation, a Delaware corporation (the ?Borrower?), the Lenders (as defined below) signatory hereto, and Medley Capital Corporation, a Del |
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| February 2, 2017 |
8-K 1 lscg201702028k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 27, 2017 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of in |
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| February 2, 2017 |
ex4-1.htm Exhibit 4.1 CERTIFICATE OF INCREASE OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under the General Corporation Law of the State of Delaware (the ?Corporation?) DOES HEREBY CERTIFY: That pursuant to the |
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| February 2, 2017 |
SC 13D/A 1 d248180dsc13da.htm AMENDMENT NO. 47 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 47)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegas |
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| November 30, 2016 |
Amendment No. 46 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 46)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 R |
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| November 28, 2016 |
FIFTH AMENDMENT AND LIMITED CONENT TO TERM LOAN AGREEMENT ex10-2.htm Exhibit 10.2 FIFTH AMENDMENT AND LIMITED CONENT TO TERM LOAN AGREEMENT This FIFTH AMENDMENT AND LIMITED CONSENT TO TERM LOAN AGREEMENT (this ?Amendment?), is entered into as of November 21, 2016, by and among Lighting Science Group Corporation, a Delaware corporation (the ?Borrower?), the Lenders (as defined below) signatory hereto, and Medley Capital Corporation, a Delaware corporation |
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| November 28, 2016 |
ex10-1.htm Exhibit 10.1 November 21, 2016 Lighting Science Group Corporation, as Borrowers' Agent 1350 Division Road, Suite 102 | West Warwick, Rhode Island 02893 Attn.: General Counsel Facsimile No.: (321) 779-5521 Office: (321) 610-9446 RE: Seventh Amendment to Loan and Security Agreement Ladies and Gentlemen: Reference is hereby made to that certain Loan and Security Agreement dated as of April |
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| November 28, 2016 |
8-K 1 lscg201611288k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 21, 2016 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of i |
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| November 14, 2016 |
Lighting Science Group FORM 10-Q (Quarterly Report) 10-Q 1 lscg2016090110q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission Fi |
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| November 14, 2016 |
1350 Division Road, Suite 204 | West Warwick, Rhode Island 02893 | www.lsgc.com ex10-4.htm Exhibit 10.4 August 31, 2016 VIA EMAIL ([email protected]) Denis M. Murphy 106 Parker Road Wellesley, Massachusetts 02482 Dear Denis: We are pleased to present to you the following offer of employment with Lighting Science Group Corporation, a Delaware corporation (the “Company”). 1. Start Date: Your employment by the Company is anticipated to commence on Monday, October 3, 2016 |
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| October 21, 2016 |
lscg201610218k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 17, 2016 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 00 |
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| September 19, 2016 |
lscg201609148k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 13, 2016 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) |
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| August 15, 2016 |
Lighting Science FORM 10-Q (Quarterly Report) 10-Q 1 lscg2016070810q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No |
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| July 28, 2016 |
EX-99.2 Exhibit 99.2 CONSENT OF THE PRIMARY INVESTOR OF THE SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION July 19, 2016 This consent (this “Consent”) is entered among Lighting Science Group Corporation, a Delaware corporation (the “Company”), Pegasus Capital Advisors, L.P., a Delaware limited partnership (“Pegasus Capital”), PCA LSG Holdings, LLC, a Delaware limited li |
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| July 28, 2016 |
Amendment No. 45 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 45)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 R |
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| July 25, 2016 |
ex10-1.htm Exhibit 10.1 July 19, 2016 LSGC Holdings III LLC c/o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06807 Attention: Chief Financial Officer RE: Amendment No. 1 to Preferred Stock Subscription and Support Agreement Ladies and Gentlemen: This Amendment No. 1 (this ?Amendment?) is made to that certain Preferred Stock Subscription and Support Agreement (the ?Subscription Agreemen |
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| July 25, 2016 |
FOURTH AMENDMENT TO TERM LOAN AGREEMENT ex10-3.htm Exhibit 10.3 FOURTH AMENDMENT TO TERM LOAN AGREEMENT This FOURTH AMENDMENT TO TERM LOAN AGREEMENT (this “Amendment”), is entered into as of July 19, 2016, by and among Lighting Science Group Corporation, a Delaware corporation (the “Borrower”), the Lenders (as defined below) signatory hereto, and Medley Capital Corporation, a Delaware corporation (“Medley”), as administrative agent for |
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| July 25, 2016 |
ex4-1.htm Exhibit 4.1 CERTIFICATE OF INCREASE OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under the Delaware General Corporation Law (the ?Corporation?) DOES HEREBY CERTIFY: That pursuant to the authority expre |
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| July 25, 2016 |
Lighting Science FORM 8-K (Current Report/Significant Event) lscg201607258k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 19, 2016 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-2 |
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| July 25, 2016 |
ex10-2.htm Exhibit 10.2 July 19, 2016 Lighting Science Group Corporation, as Borrowers' Agent 1350 Division Road, Suite 102 | West Warwick, Rhode Island 02893 Attn.: General Counsel Facsimile No.: (321) 779-5521 Office: (321) 610-9446 RE: Sixth Amendment to Loan and Security Agreement Ladies and Gentlemen: Reference is hereby made to that certain Loan and Security Agreement dated as of April 25, 2 |
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| June 28, 2016 |
ex1-01.htm Exhibit 1.01 Conflict Minerals Report of Lighting Science Group Corporation for the Reporting Period January 1, 2015 to December 31, 2015 Introduction This Conflict Minerals Report (this “Report”) has been prepared by management of Lighting Science Group Corporation (herein referred to as “LSGC”, “we”, or the “Company”) for the reporting period from January 1, 2015 to December 31, 2015 |
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| June 28, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT LIGHTING SCIENCE GROUP CORPORATION (Exact Name of Registrant as Specified in Charter) Commission file number: 0-20354 Delaware 23-2596710 (State or other jurisdiction of incorporation) (I.R.S. Employer Identification Number) 1350 Division Road, Suite 204 West Warwick, RI 02893 (Address of |
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| June 16, 2016 |
lscg20160616rw.htm 1350 Division Road, Suite 204 West Warwick, RI 02893 June 16, 2016 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Larry Spirgel, Assistant Director Re: Lighting Science Group Corporation Request to Withdraw Registration Statement on Form S-1 (File No. 333-172165) Dear Mr. Spirgel: Pursuant to Rule 4 |
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| May 31, 2016 |
ex21-1.htm Exhibit 21.1 Subsidiaries of the Company The following is a list of subsidiaries of the Company as of December 31, 2015: Name State or Sovereign Power of Incorporation Lighting Science Group B.V. The Netherlands Lighting Science Coöperatief U.A. The Netherlands Lighting Science Group Mexico S. de R.L. de C.V. Mexico LSGC LLC Delaware Biological Illumination, LLC Delaware Lighting Scien |
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| May 31, 2016 |
LSCG / Lighting Science Group Corp. 10-K/A - Annual Report - FORM 10-K/A testsw2016050410k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-K/A ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-20354 Lighting Science Group Corporation (E |
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| May 27, 2016 |
Schedule 13D Amendment No. 44 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 44)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 Rive |
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| May 26, 2016 |
Lighting Science Group FORM 8-K (Current Report/Significant Event) lscg201605268k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 26, 2016 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-20 |
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| May 16, 2016 |
LSCG / Lighting Science Group Corp. 10-Q - Quarterly Report - FORM 10-Q lscg2016033110q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 000-20354 LIGH |
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| April 21, 2016 |
Lighting Science Group FORM DEF 14A lscg20160419def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| April 14, 2016 |
LIGHTING SCIENCE GROUP CORPORATION WARRANT TO PURCHASE COMMON STOCK ex4-23.htm Exhibit 4.23 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURIT |
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| April 14, 2016 |
ex21-1.htm Exhibit 21.1 Subsidiaries of the Company The following is a list of subsidiaries of the Company as of December 31, 2015: Name State or Sovereign Power of Incorporation Lighting Science Group B.V. The Netherlands Lighting Science Coöperatief U.A. The Netherlands Lighting Science Group Mexico S. de R.L. de C.V. Mexico LSGC LLC Delaware Biological Illumination, LLC Delaware Lighting Scien |
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| April 14, 2016 |
LSCG / Lighting Science Group Corp. 10-K - Annual Report - FORM 10-K 10-K 1 lscg2015123110k.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2015 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 0-20354 Lighting Science Group C |
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| April 1, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 28, 2016 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-20354 (Commission F |
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| April 1, 2016 |
1350 Division Road, Suite 102 | West Warwick, Rhode Island 02893 321.779.5520 www.lsgc.com EX-10.1 2 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 March 4, 2016 VIA EMAIL ([email protected]) AND UNITED PARCEL SERVICE Mark D. Gorton 155 Willis Avenue Seekonk, Massachusetts 02771 Dear Mark: We are pleased to present to you the following offer of employment with Lighting Science Group Corporation, a Delaware corporation (the “Company”). 1. Start Date: Your employment by the Company will commence |
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| March 31, 2016 |
Lighting Science Group FORM NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☑ Form 10-K ☐ Form 20-F ☐Form 11-K ☐ Form 10-Q ☐Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2015 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR F |
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| February 26, 2016 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 d147408dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 43)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P |
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| December 24, 2015 |
EX-99.1 Exhibit 99.1 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES |
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| December 24, 2015 |
Amendment No.42 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 42)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 Ri |
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| October 26, 2015 |
8-K 1 lscg201510268k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2015 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of i |
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| October 26, 2015 |
LIGHTING SCIENCE GROUP CORPORATION EMPLOYMENT AGREEMENT ex10-1.htm Exhibit 10.1 LIGHTING SCIENCE GROUP CORPORATION EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this "Agreement") is made as of October 20, 2015 between Lighting Science Group Corporation, a Delaware corporation (the "Company"), and Fredric Maxik ("Executive"). WHEREAS, Company and Executive are mutually desirous that Company employ Executive, and Executive accepts such employment, upon |
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| October 20, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 14, 2015 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-20354 (Commissio |
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| September 18, 2015 |
Amendment No.41 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 41)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 Ri |
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| September 18, 2015 |
EX-99.4 Exhibit 99.4 EQUITY PUT OPTION by and among LSGC HOLDINGS III LLC, CLEANTECH EUROPE II (A) LP and CLEANTECH EUROPE II (B) LP Dated: September 11, 2015 ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE 4 Section 2.1 Option to Sell the Purchased Shares 4 Section 2.2 Exercise Period; Delivery of Notice 4 Section 2.3 Purchase Price 4 Section 2.4 Closing 5 ARTICLE III DELIVERIES AND OTHER AC |
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| September 18, 2015 |
EX-99.3 Exhibit 99.3 MEMBERSHIP INTEREST PURCHASE OPTION by and between LSGC HOLDINGS III LLC and RIVERWOOD CAPITAL PARTNERS, L.P. Dated: September 11, 2015 ARTICLE I DEFINITIONS 2 ARTICLE II PURCHASE AND SALE 5 Section 2.1 Option to Purchase the Membership Interests 5 Section 2.2 Exercise Period; Delivery of Notice 5 Section 2.3 Closing 6 ARTICLE III DELIVERIES AND OTHER ACTIONS 6 Section 3.1 Con |
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| September 18, 2015 |
EX-99.2 2 d55557dex992.htm EX-99.2 Exhibit 99.2 EQUITY PURCHASE AGREEMENT by and between LSGC HOLDINGS III LLC and RW LSG HOLDINGS, LLC Dated: September 11, 2015 ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE 3 Section 2.1 Purchase and Sale of the Purchased Units 3 Section 2.2 Purchase Price 4 Section 2.3 Closing 4 ARTICLE III DELIVERIES AND OTHER ACTIONS 4 Section 3.1 Deliveries by the Sell |
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| September 17, 2015 |
EX-4.1 2 ex4-1.htm EXHIBIT 4.1 Exhibit 4.1 CERTIFICATE OF INCREASE OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under the Delaware General Corporation Law (the “Corporation”) DOES HEREBY CERTIFY: That pursuant t |
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| September 17, 2015 |
THIRD AMENDMENT TO TERM LOAN AGREEMENT ex10-6.htm Exhibit 10.6 THIRD AMENDMENT TO TERM LOAN AGREEMENT This THIRD AMENDMENT TO TERM LOAN AGREEMENT (this ?Amendment?), is entered into as of September 10, 2015, by and among Lighting Science Group Corporation, a Delaware corporation (the ?Borrower?), the Lenders (as defined below) signatory hereto, and Medley Capital Corporation, a Delaware corporation (?Medley?), as administrative agent f |
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| September 17, 2015 |
PREFERRED STOCK SUBSCRIPTION AND SUPPORT AGREEMENT EX-10.1 4 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 PREFERRED STOCK SUBSCRIPTION AND SUPPORT AGREEMENT THIS PREFERRED STOCK SUBSCRIPTION AND SUPPORT AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on September 11, 2015, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”), Pegasus Partne |
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| September 17, 2015 |
MUTUAL GENERAL RELEASE AGREEMENT ex10-3.htm Exhibit 10.3 MUTUAL GENERAL RELEASE AGREEMENT This MUTUAL GENERAL RELEASE AGREEMENT (the ?Agreement?) is made and entered into as of September 11, 2015, by and between each of the undersigned (each, a ?Party? and collectively, the ?Parties?). WHEREAS, RW LSG Holdings LLC (?RW LSG?) has previously, from time to time, purchased from Lighting Science Group Corporation, a Delaware corporati |
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| September 17, 2015 |
ex10-7.htm Exhibit 10.7 September 11, 2015 Medley Capital Corporation 375 Park Avenue, Suite 3304 New York, NY 10152 Attn: Brian Dohmen and Gregory Richards Fax: (212) 759-0091 RE: Consents regarding issuance of Series J Convertible Preferred Stock and Series K Preferred Stock and amendment to the Amended and Restated Series J Certificate of Designation; Confirmation with respect to Customer 1 and |
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| September 17, 2015 |
ex4-2.htm Exhibit 4.2 CERTIFICATE OF DESIGNATION OF SERIES K PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 151 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?Corporation?), in accordance with the provisions o |
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| September 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 11, 2015 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-20354 (Commissi |
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| September 17, 2015 |
EX-10.2 5 ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 September 11, 2015 Cleantech Europe II (A) LP Cleantech Europe II (B) LP c/o Zouk Ventures Limited 100 Brompton Road London, SW3 1 ER United Kingdom Attention: Dominique Burgauer RE: Amendment No. 2 to Preferred Stock Subscription Agreement Ladies and Gentlemen: This Amendment No. 2 (this “Amendment”) is made to that certain Preferred Stock Subscripti |
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| September 17, 2015 |
ex10-5.htm Exhibit 10.5 September 11, 2015 ACF FinCo I LP, as assignee of FCC, LLC 580 White Plains Road, Suite 610 Tarrytown, NY 10580 Attn: Oleh Szczupak Fax: (914) 418-1217 RE: Consents regarding issuance of Series J Convertible Preferred Stock and Series K Preferred Stock and amendment to the Amended and Restated Series J Certificate of Designation; Agreements with respect to Specified Custome |
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| September 17, 2015 |
EX-28 Exhibit 28 MEMBERSHIP INTEREST PURCHASE OPTION by and between LSGC HOLDINGS III LLC and RIVERWOOD CAPITAL PARTNERS, L. |
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| September 17, 2015 |
LSCG / Lighting Science Group Corp. / Rw Lsg Holdings Llc - SC 13D/A Activist Investment SC 13D/A 1 d19018dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Mei Liang RW LSG Holdings LLC c/o Riverwood Capital Partners L.P. 7 |
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| September 17, 2015 |
ex10-4.htm Exhibit 10.4 September 11, 2015 Lighting Science Group Corporation BioLogical Illumination, LLC 1830 Penn Street Melbourne, Florida 32901 Attn.: Chief Financial Officer Facsimile No.: (321) 779-5521 Ladies and Gentlemen: Reference is hereby made to that certain Loan and Security Agreement dated as of April 25, 2014 (as at any time amended, restated, supplemented or otherwise modified, t |
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| September 17, 2015 |
EX-27 Exhibit 27 EQUITY PURCHASE AGREEMENT by and between LSGC HOLDINGS III LLC and RW LSG HOLDINGS, LLC Dated: September 11, 2015 ARTICLE I DEFINITIONS 1 ARTICLE II PURCHASE AND SALE 3 Section 2. |
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| July 24, 2015 |
Lighting Science Group FORM 8-K (Current Report/Significant Event) lscg201507238k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 20, 2015 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-2 |
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| June 4, 2015 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D//A Activist Investment SC 13D/A 1 d937797dsc13da.htm SC 13D//A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 40)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L. |
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| June 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 28, 2015 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-20354 (Commission Fil |
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| June 1, 2015 |
Lighting Science Group FORM SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT LIGHTING SCIENCE GROUP CORPORATION (Exact Name of Registrant as Specified in Charter) Commission file number: 0-20354 Delaware 23-2596710 (State or other jurisdiction of incorporation) (I.R.S. Employer Identification Number) 1830 Penn Street Melbourne, FL 32901 (Address of principal execut |
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| June 1, 2015 |
EX-1.01 2 ex1-01.htm EXHIBIT 1.01 Exhibit 1.01 Conflict Minerals Report of Lighting Science Group Corporation for the Reporting Period January 1, 2014 to December 31, 2014 I. Introduction This Conflict Minerals Report (this “Report”) of Lighting Science Group Corporation has been prepared for the reporting period from January 1, 2014 to December 31, 2014 pursuant to Rule 13p-1 (“Rule 13p-1”) promu |
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| April 30, 2015 |
Lighting Science Group FORM DEF 14A DEF 14A 1 lscg20150429def14a.htm FORM DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted |
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| April 2, 2015 |
POWER OF ATTORNEY February 1, 2015 Know all men by these presents that each of the undersigned does hereby make, constitute and appoint Matthew P. |
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| March 30, 2015 |
lscg201503308k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 24, 2015 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000- |
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| February 6, 2015 |
EX-99.1 Exhibit 99.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on January 30, 2015, by and between PCA LSG Holdings, LLC, a Delaware limited liability company (the “Seller”) and LSGC Holdings III LLC, a Delaware limited liability company (the “Buyer”). WHER |
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| February 6, 2015 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.3 Exhibit 99.3 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby confirm the agreement by and among them to the joint filing on behalf of them of a Statement on Schedule 13D and any and all amendments thereto with respect to the securities referenced in such statement, as amended |
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| February 6, 2015 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D//A Activist Investment SC 13D//A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 39)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 0 |
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| February 5, 2015 |
SERIES J SUBSCRIPTION AGREEMENT ex101.htm Exhibit 10.1 Execution Version SERIES J SUBSCRIPTION AGREEMENT THIS SERIES J SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on January 30, 2015, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”) and the person(s) (the “Purchasers”) listed on the Schedule o |
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| February 5, 2015 |
ex10-3.htm Exhibit 10.3 January 30, 2015 FCC, LLC, d/b/a First Capital 3350 Riverwood Parkway, Suite 1750 Atlanta, Georgia 30339 Attention: Portfolio Manager Facsimile No.: 678-594-5901 RE: Side Letter in Respect of Series J Equity Issuance and Calculation of Fixed Charge Coverage Ratio Ladies and Gentlemen: Reference is made to that (i) certain Loan and Security Agreement dated as of April 25, 20 |
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| February 5, 2015 |
SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT ex10-2.htm Exhibit 10.2 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this "Amendment") is made and entered into this 30th day of January, 2015, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (“LSG”), BIOLOGICAL ILLUMINATION, LLC, a Delaware limited liability company (“BioLogical”; LSG and BioLogical are referred to c |
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| February 5, 2015 |
LIMITED CONSENT AND SECOND AMENDMENT TO TERM LOAN AGREEMENT ex10-4.htm Exhibit 10.4 Execution Copy LIMITED CONSENT AND SECOND AMENDMENT TO TERM LOAN AGREEMENT This LIMITED CONSENT AND SECOND AMENDMENT TO TERM LOAN AGREEMENT (this “Amendment”), is entered into as of January 30, 2015, by and among Lighting Science Group Corporation, a Delaware Corporation (the “Borrower”), the Lenders (as defined below) signatory hereto, and Medley Capital Corporation, a Del |
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| February 5, 2015 |
lscg201502058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 30, 2015 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 00 |
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| December 17, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 11, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 24-2596710 (State or other jurisdiction of incor |
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| December 11, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) November 14, 2014 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule |
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| November 25, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 d827733dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 38)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P |
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| November 20, 2014 |
EX-10.2 Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT, dated effective as of November 14, 2014 (this “Agreement”), is between Lighting Science Group Corporation (the “Company”) and the holders of the Company’s securities identified on Schedule A attached hereto (each, including any Affiliate or Permitted Transferee thereof who is a subsequent holder of any Registrab |
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| November 20, 2014 |
8-K 1 d824609d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 14, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other juris |
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| November 20, 2014 |
SERIES J SUBSCRIPTION AGREEMENT EX-10.1 Exhibit 10.1 SERIES J SUBSCRIPTION AGREEMENT THIS SERIES J SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on November 14, 2014, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”) and the person(s) (the “Purchasers”) listed on the Schedule of Purchasers attach |
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| November 20, 2014 |
EX-4.2 Exhibit 4.2 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES I CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), in ac |
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| November 20, 2014 |
EX-4.3 Exhibit 4.3 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), in ac |
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| November 20, 2014 |
EX-4.1 2 d824609dex41.htm EX-4.1 Exhibit 4.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES H CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware |
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| November 20, 2014 |
EX-99.1 Exhibit 99.1 For Immediate Release Kate Kaminski, Marketing Lighting Science Group Corporation D 321.610.9541 E [email protected] Lighting Science Receives $13.0 Million Equity Investment to Fund Growth Funding commercialization of existing Lighting Science products in next-generation light technologies and capture share in fast-growing LED lighting market Melbourne, FL – November 19, |
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| October 7, 2014 |
LSCG / Lighting Science Group Corp. S-8 - - S-8 S-8 As filed with the Securities and Exchange Commission on October 6, 2014 Registration No. |
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| September 24, 2014 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 19, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorpora |
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| September 24, 2014 |
Exhibit 10.1 September 19, 2014 Lighting Science Group Corporation BioLogical Illumination, LLC 1227 South Patrick Drive, Building 2A Satellite Beach, FL 32937-3969 Attn.: Chief Financial Officer Facsimile No.: (321) 779-5521 Ladies and Gentlemen: Reference is hereby made to that certain Loan and Security Agreement dated as of April 25, 2014 (as at any time amended, restated, supplemented or other |
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| September 24, 2014 |
EX-99.1 Exhibit 99.1 WAYNE NESBIT APPOINTED AS CHIEF OPERATIONS OFFICER AT LIGHTING SCIENCE Top LED Operations Executive To Lead Expansion of Domestic and International Manufacturing Capabilities for Infrastructure, Commercial and Residential LED Products SATELLITE BEACH, FL—September 24, 2014—Intelligent lighting solutions company Lighting Science® announced today that Wayne Nesbit has been appoi |
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| September 11, 2014 |
LSCG / Lighting Science Group Corp. DEF 14C - - DEFINITIVE INFORMATION STATEMENT DEF 14C 1 d787801ddef14c.htm DEFINITIVE INFORMATION STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary information statement ¨ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2) |
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| September 5, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 37)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06 |
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| September 3, 2014 |
8-K 1 d783764d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 27, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdi |
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| August 20, 2014 |
EX-4.1 2 d778536dex41.htm EX-4.1 Exhibit 4.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware |
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| August 20, 2014 |
8-K 1 d778536d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 14, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other ju |
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| August 20, 2014 |
EX-4.3 4 d778536dex43.htm EX-4.3 Exhibit 4.3 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES I CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware |
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| August 20, 2014 |
SERIES J SUBSCRIPTION AGREEMENT EX-10.1 Exhibit 10.1 Execution Version SERIES J SUBSCRIPTION AGREEMENT THIS SERIES J SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on August 14, 2014, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”) and the person(s) (the “Purchasers”) listed on the Schedule of P |
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| August 20, 2014 |
EX-4.2 3 d778536dex42.htm EX-4.2 Exhibit 4.2 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES H CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware |
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| August 20, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 36)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06 |
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| August 4, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 d761081dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 35)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P |
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| August 1, 2014 |
LSCG / Lighting Science Group Corp. DEF 14A - - DEFINITIVE PROXY DEF 14A 1 d670646ddef14a.htm DEFINITIVE PROXY Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission |
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| July 18, 2014 |
8-K 1 d761299d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 15, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdict |
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| July 14, 2014 |
8-K 1 d757938d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 8, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdicti |
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| July 14, 2014 |
8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 9, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporati |
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| June 23, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 34)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Daniel Stencel LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06 |
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| June 18, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 12, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) (Co |
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| June 3, 2014 |
SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD SPECIALIZED DISCLOSURE REPORT LIGHTING SCIENCE GROUP CORPORATION (Exact Name of Registrant as Specified in Charter) Commission file number: 0-20354 Delaware 23-2596710 (State or other jurisdiction of incorporation) (I.R.S. Employer Identification Number) 1227 South Patrick Drive, Bldg. 2A Satellite Beach, FL 32937 ( |
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| June 3, 2014 |
EX-1.02 Exhibit 1.02 Conflict Minerals Report of Lighting Science Group Corporation for the Reporting Period January 1, 2013 to December 31, 2013 This Conflict Minerals Report (this “Report”) of Lighting Science Group Corporation has been prepared for the reporting period from January 1, 2013 to December 31, 2013 pursuant to Rule 13p-1 (“Rule 13p-1”) promulgated under the Securities Exchange Act o |
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| May 1, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 25, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) (C |
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| May 1, 2014 |
FIRST AMENDMENT TO TERM LOAN AGREEMENT First Amendment to Term Loan Agreement Exhibit 10.2 Execution Copy FIRST AMENDMENT TO TERM LOAN AGREEMENT This FIRST AMENDMENT TO TERM LOAN AGREEMENT (this “Amendment”), is entered into as of April 25, 2014, by and among Lighting Science Corporation, a Delaware Corporation (the “Borrower”), the Lenders (as defined below) signatory hereto, and Medley Capital Corporation, a Delaware corporation (“Me |
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| May 1, 2014 |
Loan and Security Agreement Exhibit 10.1 LOAN AND SECURITY AGREEMENT Dated as of April 25, 2014 Among Lighting Science Group Corporation, and BioLogical Illumination, LLC (Borrowers) FCC, LLC, d/b/a First Capital (as Agent) and Various Financial Institutions (as Lenders) TABLE OF CONTENTS Page 1. DEFINITIONS 1 2. BORROWING 20 3. INTEREST AND FEES 26 4. REPRESENTATIONS AND WARRANTIES OF BORROWERS 2 |
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| April 7, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 33)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06807 (203 |
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| April 4, 2014 |
EX-99.1 Exhibit 99.1 Lighting Science Appoints General James L. Jones as New Board Member Former National Security Advisor to the President of the United States to Guide Company’s Strategic Vision Satellite Beach, FL –Intelligent lighting solutions company Lighting Science® today announced the election of retired General and former White House National Security Advisor to President Obama, James L. |
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| April 4, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 d705958d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 4, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdict |
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| April 3, 2014 |
EX-10.1 Exhibit 10.1 EMPLOYMENT AGREEMENT THIS AGREEMENT (the “Agreement”) is entered into this 28th day of March 2014, and made effective as of the 1st day of March 2014 (the “Effective Date”), by and between Lighting Science Group Corporation (hereinafter referred to as “LSG” or “Company”), a Delaware Corporation with a business address of 1227 South Patrick Drive, Satellite Beach, Florida 32937 |
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| April 3, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 28, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) (C |
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| March 31, 2014 |
Lighting Science Group FORM 10 K (Annual Report) Form 10 K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D. |
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| March 31, 2014 |
8-K 1 d705095d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 25, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdic |
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| March 21, 2014 |
- DEFINITIVE INFORMATION STATEMENT DEF 14C 1 d689766ddef14c.htm DEFINITIVE INFORMATION STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2) |
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| March 10, 2014 |
- PRELIMINARY INFORMATION STATEMENT Preliminary information statement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: x Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ¨ Definitive Information Statement Lighting Science Group Corporation (Name of Registrant As Specified In Its Charter) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| February 25, 2014 |
Warrant Exhibit 4.4 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UND |
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| February 25, 2014 |
Registration Rights Agreement Exhibit 4.3 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT, dated effective as of February 19, 2014 (this “Agreement”), is between Lighting Science Group Corporation (the “Company”), Medley Capital Corporation (the “Medley”) and Medley Opportunity Fund II LP (“Opportunity” and together with Medley, “Investors”) W I T N E S S E T H: WHEREAS, on the da |
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| February 25, 2014 |
Warrant Exhibit 4.1 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UND |
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| February 25, 2014 |
8-K 1 d681449d8k.htm FORM 8K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 19, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other j |
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| February 25, 2014 |
Warrant Exhibit 4.2 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UND |
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| February 25, 2014 |
Term Loan and Security Agreement Exhibit 10.1 Execution Copy TERM LOAN AGREEMENT by and among MEDLEY CAPITAL CORPORATION, as Administrative Agent, THE LENDERS THAT ARE PARTIES HERETO as the Lenders, and LIGHTING SCIENCE GROUP CORPORATION, as Borrower Dated as of February 19, 2014 TABLE OF CONTENTS Page 1. DEFINITIONS AND CONSTRUCTION 1 1.1. Definitions 1 1.2. Accounting Terms 1 1.3. Code 2 1.4. Co |
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| February 25, 2014 |
Warrant Exhibit 4.5 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UND |
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| February 21, 2014 |
Schedule 13D Amendment No. 32 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 32)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 Riv |
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| February 21, 2014 |
EX-10.1 Exhibit 10.1 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES |
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| February 14, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 10, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incor |
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| February 14, 2014 |
Amendment No. 3 Table of Contents As filed with the Securities and Exchange Commission on February 14, 2014 Registration No. 333-172165 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LIGHTING SCIENCE GROUP CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 3646 23-2 |
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| February 12, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 d674942dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 31)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasus Capital Advisors, L. |
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| February 12, 2014 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.1 2 d674942dex991.htm EX-99.1 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D The accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended , the undersigned hereby confirm the agreement by and among them to the joint filing on behalf of them of a Statement on Schedule 13D and any and all amendments thereto with respect to the securities referenced |
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| February 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 3, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-20354 (Commission |
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| January 15, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A 1 d658911dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 30)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasus Capital Advisors, L. |
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| January 15, 2014 |
Unregistered Sales of Equity Securities 8-K 1 d659321d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 9, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other ju |
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| January 15, 2014 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.1 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D The undersigned hereby agree as follows: (i) Each of them is individually eligible to use the Schedule 13D to which this Exhibit is attached, and such Schedule 13D is filed on behalf of each of them; and (ii) Each of them is responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the comple |
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| January 10, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 8, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) ( |
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| January 8, 2014 |
Warrant between LSGC and RW LSGC Holdings LLC Exhibit 4.6 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF A |
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| January 8, 2014 |
A&R Cert of Designation of Series J Preferred Stock Exhibit 4.3 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the |
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| January 8, 2014 |
EX-10.3 2 d652237dex103.htm EX-10.3 Exhibit 10.3 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION ST |
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| January 8, 2014 |
A&R Cert of Designation of Series I Preferred Stock Exhibit 4.2 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES I CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the |
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| January 8, 2014 |
LSCG / Lighting Science Group Corp. / Cleantech Europe II (A) LP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Richard Pereira Cleantech Europe II (A) L.P. and Cleantech Europe II (B) L.P. c/o Zouk Capital L |
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| January 8, 2014 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 29)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 0 |
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| January 8, 2014 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.1 3 d652237dex991.htm EX-99.1 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D The undersigned hereby agree as follows: (i) Each of them is individually eligible to use the Schedule 13D to which this Exhibit is attached, and such Schedule 13D is filed on behalf of each of them; and (ii) Each of them is responsible for the timely filing of such Schedule 13D and any amendments |
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| January 8, 2014 |
Warrant between LSGC and PCA LSGC Holdings LLC Exhibit 4.5 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF |
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| January 8, 2014 |
EX-4 Exhibit 4 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. |
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| January 8, 2014 |
SERIES J SUBSCRIPTION AGREEMENT Series J Zouk Subscription Agreement Exhibit 10.4 Execution Version SERIES J SUBSCRIPTION AGREEMENT THIS SERIES J SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on January 3, 2014, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”) and Cleantech Europe II (A) LP, a l |
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| January 8, 2014 |
JOINT FILING AGREEMENT January 7, 2014 EX-1 Exhibit 1 JOINT FILING AGREEMENT January 7, 2014 In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned (each a “Reporting Person”) hereby agrees to the joint filing on behalf of each of the Reporting Persons of a Schedule 13D (including any and all amendments thereto) with respect to the shares of common stock, par value $0. |
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| January 8, 2014 |
SERIES J SUBSCRIPTION AGREEMENT Series J Subscription Agreement between LSGC and RW LSGC Holdings LLC Exhibit 10.3 Execution Version SERIES J SUBSCRIPTION AGREEMENT THIS SERIES J SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on January 3, 2014, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”) an |
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| January 8, 2014 |
POWER OF ATTORNEY January 1, 2014 EX-2 Exhibit 2 POWER OF ATTORNEY January 1, 2014 Know all men by these presents that each of the undersigned does hereby make, constitute and appoint Matthew P. |
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| January 8, 2014 |
Warrant between LSGC and LSGC Holdings II LLC Exhibit 4.8 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF A |
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| January 8, 2014 |
Warrant between LSGC and RW LSGC Holdings LLC Exhibit 4.9 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF A |
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| January 8, 2014 |
Form 8K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 3, 2014 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorpor |
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| January 8, 2014 |
Warrant between LSGC and PCA LSGC Holdings LLC Exhibit 4.7 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF |
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| January 8, 2014 |
Warrant between LSGC and LSGC Holdings II LLC Exhibit 4.4 Execution Version THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF A |
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| January 8, 2014 |
SERIES J SUBSCRIPTION AGREEMENT Series J Subscription Agreement between LSGC and LSGC Holdings II LLC Exhibit 10.1 Execution Version SERIES J SUBSCRIPTION AGREEMENT THIS SERIES J SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on January 3, 2014, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”) an |
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| January 8, 2014 |
A&R Cert of Designation of Series H Preferred Stock Exhibit 4.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES H CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the |
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| January 8, 2014 |
SERIES J SUBSCRIPTION AGREEMENT EX-10.2 12 d653093dex102.htm SERIES J SUBSCRIPTION AGREEMENT BETWEEN LSGC AND PCA LSGC HOLDINGS LLC Exhibit 10.2 Execution Version SERIES J SUBSCRIPTION AGREEMENT THIS SERIES J SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on January 3, 2014, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware |
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| January 7, 2014 |
LSCG / Lighting Science Group Corp. / Rw Lsg Holdings Llc - SC 13D/A Activist Investment SC 13D/A 1 d654026dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Mei Liang RW LSG Holdings LLC c/o Riverwood Capital Partners L.P. |
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| December 11, 2013 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 5, 2013 Lighting Science Group Corporation (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporati |
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| December 5, 2013 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.1 2 d630911dex991.htm EX-99.1 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D The undersigned hereby agree as follows: (i) Each of them is individually eligible to use the Schedule 13D to which this Exhibit is attached, and such Schedule 13D is filed on behalf of each of them; and (ii) Each of them is responsible for the timely filing of such Schedule 13D and any amendments |
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| December 5, 2013 |
LSCG / Lighting Science Group Corp. / LED Holdings, LLC - AMENDMENT NO. 28 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 28)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 River Road Cos Cob, CT 06807 (203 |
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| November 22, 2013 |
Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 19, 2013 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) |
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| November 22, 2013 |
PREFERRED STOCK SUBSCRIPTION AGREEMENT EX-10.1 Exhibit 10.1 Execution Version PREFERRED STOCK SUBSCRIPTION AGREEMENT THIS PREFERRED STOCK SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on November 19, 2013, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”) and LSGC Holdings II LLC, a Delaware limited lia |
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| October 21, 2013 |
Unregistered Sales of Equity Securities - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 16, 2013 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 24-2596710 (State or other jurisdiction of incorp |
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| September 17, 2013 |
POWER OF ATTORNEY September 1, 2013 EX-2 Exhibit 2 POWER OF ATTORNEY September 1, 2013 Know all men by these presents that each of the undersigned does hereby make, constitute and appoint Matthew P. |
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| September 17, 2013 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D EX-99.1 2 d597181dex991.htm EXHIBIT 99.1 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D The undersigned hereby agree as follows: (i) Each of them is individually eligible to use the Schedule 13D to which this Exhibit is attached, and such Schedule 13D is filed on behalf of each of them; and (ii) Each of them is responsible for the timely filing of such Schedule 13D and any amend |
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| September 17, 2013 |
JOINT FILING AGREEMENT September 13, 2013 EX-99.1 2 d598043dex991.htm EX-1 Exhibit 1 JOINT FILING AGREEMENT September 13, 2013 In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned (each a “Reporting Person”) hereby agrees to the joint filing on behalf of each of the Reporting Persons of a Schedule 13D (including any and all amendments thereto) with respect to the share |
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| September 17, 2013 |
Amendment No. 27 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 27)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasus Capital Advisors, L.P. 99 |
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| September 17, 2013 |
LSCG / Lighting Science Group Corp. / Cleantech Europe II (A) LP - SC 13D/A Activist Investment SC 13D/A 1 d598043dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Richard Pereira Cleantech Europe II (A) L.P. and Cleantech Europe |
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| September 13, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 11, 2013 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 24-2596710 (State or other jurisdiction of incorporation |
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| September 13, 2013 |
PREFERRED STOCK SUBSCRIPTION AGREEMENT EX-99.18 2 d597746dex9918.htm EX-99.18 Exhibit 18 Execution Version PREFERRED STOCK SUBSCRIPTION AGREEMENT THIS PREFERRED STOCK SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on September 11, 2013, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”), PCA LSG HOLDINGS, |
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| September 13, 2013 |
PREFERRED STOCK SUBSCRIPTION AGREEMENT Exhibit 10.1 Execution Version PREFERRED STOCK SUBSCRIPTION AGREEMENT THIS PREFERRED STOCK SUBSCRIPTION AGREEMENT (as may be amended or modified from time to time in accordance with the terms hereof, this “Agreement”) is entered into on September 11, 2013, by and among LIGHTING SCIENCE GROUP CORPORATION, a Delaware corporation (the “Company”), PCA LSG HOLDINGS, LLC, a Delaware limited liability co |
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| September 13, 2013 |
EX-10.4 9 d597908dex104.htm AMENDMENT TO PREFERRED STOCK SUBSCRIPTION AGMT Exhibit 10.4 September 11, 2013 To the Purchasers identified on the signature pages hereto RE: Amendment No. 1 to Preferred Stock Subscription Agreement Ladies and Gentlemen: This Amendment No. 1 (this “Amendment”) is made to that certain Preferred Stock Subscription Agreement (the “Subscription Agreement”), dated as of May |
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| September 13, 2013 |
Exhibit 4.4 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES REPRESENTED BY THIS WARRANT HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR A |
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| September 13, 2013 |
Amendment to Preferred Stock Subscription Agmt Exhibit 10.2 September 11, 2013 Portman Limited Silver Tower Corniche Road P.O. Box 61999 Abu Dhabi, United Arab Emirates RE: Amendment No. 1 to Preferred Stock Subscription Agreement Ladies and Gentlemen: This Amendment No. 1 (this “Amendment”) is made to that certain Preferred Stock Subscription Agreement (the “Subscription Agreement”), dated as of |
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| September 13, 2013 |
rrd351325397773.html Exhibit 24 POWER OF ATTORNEY September 1, 2013 Know all men by these presents that each of the undersigned does hereby make, constitute and appoint Matthew P. Fisher and each individual named on the signature page hereto other than such undersigned, or any of them, as a true and lawful attorney-in-fact of such undersigned with full powers of substitution and revocation, for an |
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| September 13, 2013 |
Amended and Restated Certificate of Designation Exhibit 4.2 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES H CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the Sta |
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| September 13, 2013 |
EX-99.20 Exhibit 20 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES H CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), in a |
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| September 13, 2013 |
EX-99.21 Exhibit 21 September 11, 2013 To the Purchasers identified on the signature pages hereto RE: Amendment No. 1 to Preferred Stock Subscription Agreement Ladies and Gentlemen: This Amendment No. 1 (this “Amendment”) is made to that certain Preferred Stock Subscription Agreement (the “Subscription Agreement”), dated as of May 25, 2012, by and among Lighting Science Group Corporation (the “Com |
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| September 13, 2013 |
rrd351325397778.html Exhibit 99.1 Joint Filer Information Form 3 Designated Filer : Cleantech Europe II (A) LP Other Joint Filers: Cleantech Europe II (B) L.P., Cleantech II General Partner L.P., Cleantech II General Partner Limited, Zouk Capital LLP, and Zouk Ventures Ltd Addresses: The principal business address of each of the joint filers listed above except for CleantechII General Partner L.P. |
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| September 13, 2013 |
LSCG / Lighting Science Group Corp. / Rw Lsg Holdings Llc - SC 13D/A Activist Investment SC 13D/A 1 d597746dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Mei Liang RW LSG Holdings LLC c/o Riverwood Capital Partners L.P. |
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| September 13, 2013 |
Exhibit 10.3 September 9, 2013 Cleantech Europe II (A) LP Cleantech Europe II (B) LP c/o Zouk Ventures Limited 100 Brompton Road London, SW3 1 ER United Kingdom Attention: Dominique Burgauer RE: Amendment No. 1 to Preferred Stock Subscription Agreement Ladies and Gentlemen: This Amendment No. 1 (this “Amendment”) is made to that certain Preferred Stock Subscription Agreement (the “Subscription Agr |
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| September 13, 2013 |
EX-99.19 Exhibit 19 CERTIFICATE OF DESIGNATION OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), in accordance with the |
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| September 13, 2013 |
EX-4.1 2 d597908dex41.htm CERTIFICATE OF DESIGNATION Exhibit 4.1 CERTIFICATE OF DESIGNATION OF SERIES J CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delawar |
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| September 13, 2013 |
EX-4.3 4 d597908dex43.htm AMENDED AND RESTATED CERTIFICATE OF DESIGNATION Exhibit 4.3 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES I CONVERTIBLE PREFERRED STOCK OF LIGHTING SCIENCE GROUP CORPORATION Pursuant to Section 242 of the General Corporation Law of the State of Delaware Lighting Science Group Corporation, a corporation organized and existing under and by virtue of the General |
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| July 11, 2013 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 8, 2013 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporat |
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| May 28, 2013 |
Submission of Matters to a Vote of Security Holders - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 23, 2013 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 000-20354 23-2596710 (State or other jurisdiction of incorporat |
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| May 6, 2013 |
- REVISED DEFINITIVE PROXY MATERIALS Revised Definitive Proxy Materials Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2013 |
Correspondence May 1, 2013 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| May 1, 2013 |
CORRESP 1 filename1.htm May 1, 2013 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mail Stop 3720 Washington, DC 20549-3628 Attn: Celeste M. Murphy Legal Branch Chief Re: Lighting Science Group Corporation Preliminary Proxy Statement filed on Schedule 14A Filed April 17, 2013 File No. 000-20354 Dear Ms. Murphy: In conjunction with the response to the comments |
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| April 30, 2013 |
DEF 14A 1 d520836ddef14a.htm DEFINITIVE PROXY STATEMENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the C |
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| April 17, 2013 |
Preliminary Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 4, 2013 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 1, 2013 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorpora |
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| March 7, 2013 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 5, 2013 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) |
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| February 28, 2013 |
Correspondence March 1, 2013 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 12, 2013 |
Correspondence February 13, 2013 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 5, 2013 |
SC 13D/A 1 d474833dsc13da.htm SC 13D/AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Richard Pereira Cleantech Europe II (A) LP and Clean |
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| February 5, 2013 |
POWER OF ATTORNEY 18th January, 2013 Exhibit 2 Exhibit 2 POWER OF ATTORNEY 18th January, 2013 Know all men by these presents that each of the undersigned does hereby make, constitute and appoint Matthew P. |
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| February 5, 2013 |
JOINT FILING AGREEMENT February 4, 2013 Exhibit 1 Exhibit 1 JOINT FILING AGREEMENT February 4, 2013 In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned (each a “Reporting Person”) hereby agrees to the joint filing on behalf of each of the Reporting Persons of a Schedule 13D (including any and all amendments thereto) with respect to the shares of common stock, par value $0. |
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| January 9, 2013 |
Correspondence January 9, 2013 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| January 2, 2013 |
Correspondence Letter January 2, 2013 Securities and Exchange Commission Attn: Mr. |
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| December 18, 2012 |
Employment Agreement, dated as of November 29, 2012 Exhibit 10.1 EMPLOYMENT AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 29th day of November 2012 (the “Effective Date”), by and between Lighting Science Group Corporation (hereinafter referred to as “LSG” or “Company”), a Delaware Corporation with a business address of 1227 South Patrick Drive, Satellite Beach, Florida 3 |
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| December 18, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 17, 2012 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) |
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| December 18, 2012 |
Press Release Exhibit 99.1 LIGHTING SCIENCE® APPOINTS JEREMY CAGE AS NEW CEO Seasoned Brand Builder and Innovator to Lead Next Phase of Company’s Growth SATELLITE BEACH, FL—December 17, 2012—Lighting Science Group Corporation® (OTCBB: LSGC), a global leader in LED lighting technology, announced today the appointment of Jeremy Cage as Chief Executive Officer, effective January 2, 2013. Cage was sel |
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| October 19, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 18, 2012 LIGHTING SCIENCE GROUP CORPORATION (Exact name of registrant as specified in its charter) Delaware 000-20354 23-2596710 (State or other jurisdiction of incorporation) |
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| October 5, 2012 |
JOINT FILING AGREEMENT October 5, 2012 EX-99.1 2 d420952dex991.htm EX 1 Exhibit 1 JOINT FILING AGREEMENT October 5, 2012 In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned (each a “Reporting Person”) hereby agrees to the joint filing on behalf of each of the Reporting Persons of a Schedule 13D (including any and all amendments thereto) with respect to the shares o |
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| October 5, 2012 |
LSCG / Lighting Science Group Corp. / Cleantech Europe II (A) LP - SCHEDULE 13D Activist Investment Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Richard Pereira Cleantech Europe II (A) LP and Cleantech Europe II (B) LP c/o Zouk Capital LL |
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| October 5, 2012 |
SERIES «Series» ASSIGNMENT OF PREEMPTIVE RIGHTS EX-99.14 4 d420952dex9914.htm EX 14 Exhibit 14 SERIES «Series» ASSIGNMENT OF PREEMPTIVE RIGHTS For value received, «Holder» (“Holder”) hereby irrevocably sells, assigns and transfers unto the assignee set forth below (the “Assignee”), and Assignee hereby assumes the one-time right of Holder to purchase the number of shares of Offered Shares (as defined in the Preemptive Notice (defined below)) and |
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| October 5, 2012 |
POWER OF ATTORNEY October 1, 2012 EX-99.2 3 d420952dex992.htm EX 2 Exhibit 2 POWER OF ATTORNEY October 1, 2012 Know all men by these presents that each of the undersigned does hereby make, constitute and appoint Matthew P. Fisher and each individual named on the signature page hereto other than such undersigned, or any of them, as a true and lawful attorney-in-fact of such undersigned with full powers of substitution and revocatio |
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| October 5, 2012 |
ZOUK VENTURES LIMITED LIGHTING SCIENCE GROUP CORPORATION SUPPORT SERVICES AGREEMENT EX 16 Exhibit 16 Execution Version ZOUK VENTURES LIMITED AND LIGHTING SCIENCE GROUP CORPORATION SUPPORT SERVICES AGREEMENT EXECUTION VERSION THIS AGREEMENT is made on the 25th day of September 2012. |
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| October 5, 2012 |
EX 17 Exhibit 17 September 25, 2012 Lighting Science Group Corporation Attn: Thomas C. |
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| October 5, 2012 |
EX-99.18 7 d420952dex9918.htm EX 18 Exhibit 18 September 25, 2012 Lighting Science Group Corporation Attn: Thomas C. Shields 1227 South Patrick Drive, Building 2A Satellite Beach, Florida 32937 Re: Exercise of Right to Purchase Securities of Lighting Science Group Corporation To whom it may concern: Reference is made to that certain Preemptive Rights Notice, dated as of September 20, 2012 (the “No |
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| October 1, 2012 |
SERIES I ASSIGNMENT OF PREEMPTIVE RIGHTS Exhibit 10.3 Exhibit 10.3 SERIES I ASSIGNMENT OF PREEMPTIVE RIGHTS For value received, PCA LSG Holdings, LLC (“Holder”) hereby irrevocably sells, assigns and transfers unto the assignee set forth below (the “Assignee”), and Assignee hereby assumes the one-time right of Holder to purchase the number of shares of Offered Shares (as defined in the Preemptive Notice (defined below)) and the correspond |
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| October 1, 2012 |
SC 13D/A 1 d418373dsc13da.htm SCHEDULE 13D/A AMENDMENT NO.26 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 26)* Lighting Science Group Corporation (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 53224G103 (CUSIP Number) Steven Wacaster LED Holdings, LLC c\o Pegasu |
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| October 1, 2012 |
REDEMPTION OF MEMBERSHIP INTEREST EX-10.1 2 d418373dex101.htm EXHIBIT 10.1 Exhibit 10.1 REDEMPTION OF MEMBERSHIP INTEREST THIS REDEMPTION OF MEMBERSHIP INTEREST (this “Redemption”) is made and entered into as of September 21, 2012 (the “Effective Date”), between LED Effects, Inc., a Nevada corporation (“LED Effects”), and LED Holdings, LLC, a Delaware limited liability company (“LED Holdings”). All terms used herein but not otherw |
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| October 1, 2012 |
[Remainder of page intentionally left blank] EX-10.8 7 d418373dex108.htm EXHIBIT 10.8 Exhibit 10.8 September 25, 2012 Pegasus Capital Advisors, L.P. (“PCA”) c/o Pegasus Capital Advisors 99 River Road Cos Cob, CT 06807 Gentlemen: Reference is made to the Series H Preferred Stock Subscription Agreement, dated as of the date hereof (the “Subscription Agreement”), between Lighting Science Group Corporation, a Delaware corporation (the “Company”) |
