-----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, HlLO/I9kC2mpqgqINzbqP41zX3XK+/3onPxyGtlilEmzLYRIhLmRuFC2dR1Yg4nN +x4nswHLthEBxOEO8Nsjxg== 0000930413-07-007913.txt : 20071015 0000930413-07-007913.hdr.sgml : 20071015 20071015161905 ACCESSION NUMBER: 0000930413-07-007913 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071004 FILED AS OF DATE: 20071015 DATE AS OF CHANGE: 20071015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Furry Kevin CENTRAL INDEX KEY: 0001414903 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 071172168 BUSINESS ADDRESS: BUSINESS PHONE: 916.852.0181 MAIL ADDRESS: STREET 1: 100 MEADOW LAKES COURT CITY: FOLSOM STATE: CA ZIP: 95630 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: PP IV LED, LLC CENTRAL INDEX KEY: 0001415185 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 071172167 BUSINESS ADDRESS: STREET 1: 99 RIVER ROAD CITY: COS COB STATE: CT ZIP: 06807 BUSINESS PHONE: 203.869.4400 MAIL ADDRESS: STREET 1: 99 RIVER ROAD CITY: COS COB STATE: CT ZIP: 06807 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PP IV (AIV) LED, LLC CENTRAL INDEX KEY: 0001415186 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 071172166 BUSINESS ADDRESS: STREET 1: 99 RIVER ROAD CITY: COS COB STATE: CT ZIP: 06807 BUSINESS PHONE: 203-869-4400 MAIL ADDRESS: STREET 1: 99 RIVER ROAD CITY: COS COB STATE: CT ZIP: 06807 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KELSON RICHARD B CENTRAL INDEX KEY: 0001143958 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 071172169 BUSINESS ADDRESS: STREET 1: C/O WESTVACO CORP STREET 2: 299 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 9374953710 MAIL ADDRESS: STREET 1: MEADWESTVACO CORPORATION STREET 2: ONE HIGH RIDGE PARK CITY: STAMFORD STATE: CT ZIP: 06905 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LED Holdings, LLC CENTRAL INDEX KEY: 0001414298 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 071172165 BUSINESS ADDRESS: STREET 1: 11390 SUNRISE GOLD CIRCLE, #800 CITY: RANCHO CORDOVA STATE: CA ZIP: 95742 BUSINESS PHONE: 916.852.1719 MAIL ADDRESS: STREET 1: 11390 SUNRISE GOLD CIRCLE, #800 CITY: RANCHO CORDOVA STATE: CA ZIP: 95742 3 1 c50680_ex.xml X0202 3 2007-10-04 0 0000866970 LIGHTING SCIENCE GROUP CORP LSGP.PK 0001414298 LED Holdings, LLC 11390 SUNRISE GOLD CIRCLE #800 RANCHO CORDOVA CA 95742 0 0 1 0 0001143958 KELSON RICHARD B MEADWESTVACO CORPORATION ONE HIGH RIDGE PARK STAMFORD CT 06905 0 0 1 0 0001414903 Furry Kevin 100 MEADOW LAKES COURT FOLSOM CA 95630 0 0 1 0 0001415185 PP IV LED, LLC 99 RIVER ROAD COS COB CT 06807 0 0 1 0 0001415186 PP IV (AIV) LED, LLC 99 RIVER ROAD COS COB CT 06807 0 0 1 0 Common Stock 318574664 D Series B Preferred Stock 0.28 Common Stock 2000000 D Represents the purchase of 318,574,664 shares of Common Stock by LED Holdings, LLC ("LEDH"). PP IV (AIV) LED, LLC ("PPAIV"), PP IV LED, LLC ("PPLED"), Richard Kelson ("Mr. Kelson") and LED Effects, Inc. ("LED", together with PPAIV, PPLED, Mr. Kelson, the "LEDH Members") do not directly own any of the Common Stock but share voting and dispositive power over the Common Stock only as members of LEDH and by virtue of such status may be deemed to be the beneficial owner of the Common Stock held by LEDH. The LEDH Members disclaim beneficial ownership of the Common Stock held by LEDH, except to the extent of any pecuniary interest, and this statement shall not be deemed to be an admission that they are the beneficial owners of such securities. Represents the purchase of 2,000,000 shares of Series B Preferred Stock by LEDH. The LEDH Members do not directly own any of the Series B Preferred Stock but share voting and dispositive power over the Series B Preferred Stock only as members of LEDH and by virtue of such status may be deemed to be the beneficial owner of the Series B Preferred Stock held by LEDH. The LEDH Members disclaim beneficial ownership of the Series B Preferred Stock held by LEDH, except to the extent of any pecuniary interest, and this statement shall not be deemed to be an admission that they are the beneficial owners of such securities. N/A /s/ Govi Rao, President & CEO, LED Holdings, LLC 2007-10-04 /s/ Steven Wacaster, Vice President, PP IV (AIV) LED, LLC 2007-10-04 /s/ Steven Wacaster, Vice President, PP IV LED, LLC 2007-10-04 /s/ Richard Kelson 2007-10-04 /s/ Kevin Furry, President, LED Effects, Inc. 2007-10-04 -----END PRIVACY-ENHANCED MESSAGE-----