-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QT1nryJf9TEdqNP+9IWls76K10WjBt1Gj/At9/LYL1Y6y3jbjUhxYfzwHPVLrWYZ ihWpw9dCfkqCFJhtGr3V5A== 0000923702-06-000001.txt : 20060926 0000923702-06-000001.hdr.sgml : 20060926 20060926174510 ACCESSION NUMBER: 0000923702-06-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060918 FILED AS OF DATE: 20060926 DATE AS OF CHANGE: 20060926 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LIGHTING SCIENCE GROUP CORP CENTRAL INDEX KEY: 0000866970 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 232596710 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1555 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2143823630 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1555 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX GROUP CORP DATE OF NAME CHANGE: 20001130 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX HEATHCARE CORP DATE OF NAME CHANGE: 19990519 FORMER COMPANY: FORMER CONFORMED NAME: IATROS HEALTH NETWORK INC DATE OF NAME CHANGE: 19941221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SNADON DARYL N CENTRAL INDEX KEY: 0000923702 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 061109591 BUSINESS ADDRESS: STREET 1: 15280 ADDISON RAOD SUITE 300 CITY: ADDISON STATE: TX ZIP: 75001 BUSINESS PHONE: 9726611011 MAIL ADDRESS: STREET 1: 15280 ADDISON ROAD SUITE 300 CITY: ADDISON STATE: TX ZIP: 75001 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2006-09-18 0 0000866970 LIGHTING SCIENCE GROUP CORP LSGP 0000923702 SNADON DARYL N 15280 ADDISON ROAD SUITE 300 ADDISON TX 75001 1 0 0 0 Common Stock 2006-09-18 4 P 0 200000 A 2385263 I Footnote Common Stock Warrants (right to buy) 0.3 2006-09-22 4 P 0 500000 A 2006-09-22 2011-09-22 Common Stock 500000 500000 D On September 18, 2006, the issuer issued 200,000 shares of Common Stock and, on September 22, 2006, the issuer issued a warrant to purchase 500,000 shares of Common Stock, subject to adjustment, at an exercise price of $0.30 per share, subject to adjustment, to Mr. Snadon, in each case, in and as as consideration for a guarantee by Mr. Snadon of $200,000 of a $2,000,0000 line of credit of the issuer. Includes (i) 187,130 shares issuable by the issuer to Mr. Snadon pursuant to the conversion of 6% Convertible Preferred Stock of the issuer; (ii) 587,715 shares issuable by the issuer to Mr. Snadon pursuant to the exercise of warrants of the issuer at an exercise price of $0.30 per share; (iii) 130,000 shares issuable by the issuer to Mr. Snadon pursuant to the exercise of warrants of the issuer at an exercise price of $1.50 per share; (iv) 20,000 shares issuable to Mr. Snadon pursuant to the exercise of options of the issuer at an exercise price of $0.32 per share (one-third of which vested on the grant date of 2/21/06; one-third of which will vest on 2/21/07, and one third of which will vest on 2/21/08); and (v) 50,000 shares issuable to Mr. Snadon pursuant to the exercise options of the issuer at an exercise price of $0.53 per share (one third of which vested on the grant date of 10/31/05, one third of which will vest on 10/31/06, and one-third of which will vest on 10/31/07). Includes 147,525 shares held in the name of Mr. Snadon's wife. Daryl N. Snadon 2006-09-26 -----END PRIVACY-ENHANCED MESSAGE-----