4//SEC Filing
Rao Govi 4
Accession 0000866970-09-000001
CIK 0000866970other
Filed
Jan 29, 7:00 PM ET
Accepted
Jan 30, 10:33 AM ET
Size
9.8 KB
Accession
0000866970-09-000001
Insider Transaction Report
Form 4
Rao Govi
DirectorDirector, Chairman and CEO
Transactions
- Other
Warant (option to purchase)
2009-01-28+176,460→ 176,460 totalExercise: $0.85Exp: 2013-12-31→ Common Stock (176,460 underlying) - Purchase
Series C Preferred Stock
2009-01-28$12.75/sh+11,764$149,991→ 11,764 total
Footnotes (4)
- [F1]Warrant was received in connection with the purchase of Series C Preferred Stock.
- [F2]The warrant becomes exercisable upon a voluntary or involuntary liquidation, dissolution or winding-up of the Issuer, a change of control of the Issuer or the redemption, repurchase or other acquisition of all of the shares of Series C Preferred Stock by the Issuer, but in no event before 75 days after the date of issuance of the warrant. Change of control is defined as the existence or occurrence of any of the following: (a) the sale, conveyance, contribution or disposition of all or substantially all of the assets of the Issuer (including pursuant to a joint venture arrangement or other transaction in which the Issuer receives more than fifty percent (50%) of the voting equity in another entity or a general partnership); (b) the effectuation of a transaction or series of related transactions in which more than fifty percent (50%) of the voting power of the Issuer is disposed of (continued on the next footnote)
- [F3](Continued from the last footnote)...(other than as a direct result of normal, uncoordinated trading activities in the common stock generally); (c) the consolidation, merger or other business combination of the Issuer with or into any other entity, immediately following which the prior stockholders of the Issuer fail to own, directly or indirectly, at least fifty percent (50%) of the voting equity of the surviving entity; (d) a transaction or series of transactions in which any person or "group" (as such term is used in Sections 13(d) and 14(d) of the Exchange Act) acquires more than fifty percent (50%) of the voting equity of the Issuer; (e) the replacement of a majority of the board of directors with individuals who were not nominated or elected by at least a majority of the directors at the time of such replacement; (Continued on the next footnote)
- [F4](Continued from the last footnote)... or (f) a transaction or series of transactions that constitutes or results in a "going private transaction" (as defined in Section 13(e) of the Exchange Act and the regulations of the U.S. Securities and Exchange Commission issued thereunder).
Documents
Issuer
LIGHTING SCIENCE GROUP CORP
CIK 0000866970
Entity typeother
Related Parties
1- filerCIK 0001414297
Filing Metadata
- Form type
- 4
- Filed
- Jan 29, 7:00 PM ET
- Accepted
- Jan 30, 10:33 AM ET
- Size
- 9.8 KB