FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/25/2012 |
3. Issuer Name and Ticker or Trading Symbol
LIGHTING SCIENCE GROUP CORP [ LSCG ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 10/05/2012 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series H Conv. Preferred Stock, par value $0.001 per share | (1) | (1) | Common Stock, par value $0.001 per share | 17,697,661(1) | $1.18(1) | D(1) | |
Series H Conv. Preferred Stock, par value $0.001 per share | (2) | (2) | Common Stock, par value $0.001 per share | 3,083,051(2) | $1.18(2) | D(2) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Structurally, Cleantech II General Partner L.P. ("Cleantech GP LP") is the sole general partner of Cleantech Europe II (A) L.P. ("Cleantech A") and performs no other function. Cleantech II General Partner Limited is the sole general partner of , and exercises sole control over, Cleantech GP LP. Cleantech GP LP was inadvertently omitted from the reporting persons' original Form 3. As the sole general partner of Cleantech A, Cleantech GP LP may be deemed to be the indirect beneficial owner of such shares under Rule 16a-1(a)(2) promulgated under the Exchange Act. However, pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, each of the reporting persons and Cleantech GP LP disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest. |
2. Structurally, Cleantech GP LPis the sole general partner of Cleantech Europe II (B) L.P. ("Cleantech B") and performs no other function. Cleantech II General Partner Limited is the sole general partner of , and exercises sole control over, Cleantech GP LP. Cleantech GP LP was inadvertently omitted from the reporting persons' original Form 3. As the sole general partner of Cleantech B, Cleantech GP LP may be deemed to be the indirect beneficial owner of such shares under Rule 16a-1(a)(2) promulgated under the Exchange Act. However, pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, each of the reporting persons and Cleantech GP LP disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest.. |
Remarks: |
Exhibit List Exhibit 24 - Power of Attorney Exhibit 99.1- Joint Filer Information |
*/s/ Matthew P. Fisher, Attorney-in-Fact by Richard Pereira, as director of the general partner of the general partner of Cleantech Europe II (A) L.P. (see signatures of other Reporting Persons on the attached Exhibit 99.1) | 09/13/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |