LIGHTING SCIENCE GROUP CORP 4

4 · LIGHTING SCIENCE GROUP CORP · Filed Sep 17, 2014

Form 4

Period: 2014-08-28

Director

Transactions

Award
Common Stock, par value $0.001 per share
2014-08-28+5,137→ 1,917,882 total
Exercise/Conversion
Option
2011-01-03+12,000→ 12,000 total
Exercise: $3.30From: 2011-01-03Exp: 2021-01-03→ Common Stock, par value $0.001 per share (12,000 underlying)
Other
Series I Conv. Preferred Stock, par value $0.001 per share
2012-05-25+6,651→ 6,651 total
Exercise: $1.18From: 2012-05-25→ Common Stock, par value $0.001 per share (7,001,053 underlying)
Exercise/Conversion
Option
2012-06-15+15,068→ 15,068 total
Exercise: $1.52From: 2012-06-15Exp: 2022-05-25→ Common Stock, par value $0.001 per share (15,068 underlying)

Footnotes (4)

[F1]Represents restricted shares of common stock of Lighting Science Group Corporation (the "Issuer"), par value $0.001 per share (each, a "Share"), granted to Leon Wagner by the Issuer's board of directors as compensation for his service from August 28, 2014 through the end of the year as the chairman of the committee of independent directors of the Issuer. The Shares will vest in full on January 1, 2015.
[F2]As compensation for Mr. Wagner's service during 2011 on the board of directors of the Issuer, the Issuer's board of directors granted Mr. Wagner stock options to purchase 12,000 Shares at an exercise price of $3.30 per Share. The stock options vested in full on the first day of the first calendar quarter of 2012.
[F3]Each share of Series I Convertible Preferred Stock ("Series I Preferred Stock") is immediately convertible into approximately 1,052.6 Shares, subject to certain adjustments in the Stated Value (as defined in the Certificate of Designation governing the Series I Preferred Stock). The Series I Preferred Stock has no expiration date.
[F4]As compensation for Mr. Wagner's service during 2012 as a member of the audit committee and committee of independent directors of the Issuer, the Issuer's board of directors granted Mr. Wagner stock options to purchase 15,068 Shares at an exercise price of $1.52 per Share, the closing price on May 24, 2012. The stock options vested in full on the first day of the fourth calendar quarter of 2012.

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