HARKLEROAD DONALD R 4
4 · LIGHTING SCIENCE GROUP CORP · Filed Feb 14, 2013
Insider Transaction Report
Form 4
HARKLEROAD DONALD R
Director
Transactions
- Exercise/Conversion
Common Stock
2012-03-19+105,042→ 135,345 total - Award
Option
2012-03-14+1→ 1 totalFrom: 2012-03-14→ See Footnote - Exercise/Conversion
Option
2012-03-19−1→ 0 totalFrom: 2012-03-14→ See Footnote
Holdings
- 296,199(indirect: By The Bristol Company)
Common Stock
Footnotes (2)
- [F1]On March 14, 2012, as compensation for the reporting person's service during 2012 as a member of the board of directors, the audit committee and the committee of independent directors of Lighting Science Group Corporation (the "Issuer"), the Issuer's board of directors granted the reporting person an option to elect to receive either: (i) 105,042 restricted shares of the Issuer's common stock or (ii) stock options to purchase 125,000 shares of the Issuer's common stock at an exercise price of $1.19 per share (the "Option"). The Option did not have a fixed expiration date and remained outstanding until the reporting person exercised the Option on March 19, 2012, electing to receive his compensation solely in the form of restricted shares of common stock. Such restricted shares of common stock vested in equal quarterly installments on the first day of each calendar quarter of 2012, beginning January 1, 2012.
- [F2]The reporting person is the sole shareholder of The Bristol Company and as such may be deemed to beneficially own the shares held by The Bristol Company.