0001181431-12-051948.txt : 20120925 0001181431-12-051948.hdr.sgml : 20120925 20120925094343 ACCESSION NUMBER: 0001181431-12-051948 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20120921 FILED AS OF DATE: 20120925 DATE AS OF CHANGE: 20120925 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PEGASUS CAPITAL LLC CENTRAL INDEX KEY: 0001259178 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107826 MAIL ADDRESS: STREET 1: 99 RIVER ROAD STREET 2: C/O PEAGASUS PARTNERS II LP CITY: COC COB STATE: CT ZIP: 06807-2514 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: 1227 SOUTH PATRICK DRIVE STREET 2: BUILDING 2A CITY: SATELLITE BEACH STATE: FL ZIP: 32937 BUSINESS PHONE: 321-779-5520 MAIL ADDRESS: STREET 1: 1227 SOUTH PATRICK DRIVE STREET 2: BUILDING 2A CITY: SATELLITE BEACH STATE: FL ZIP: 32937 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: COGUT CRAIG M CENTRAL INDEX KEY: 0001032672 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107818 MAIL ADDRESS: STREET 1: C/O APOLLO ADVISORS LP STREET 2: 2 MANHATTANVILLE RD CITY: PURCHASE STATE: NY ZIP: 10577 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107819 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 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107821 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107820 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: PEGASUS PARTNERS IV LP CENTRAL INDEX KEY: 0001431283 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107823 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: Pegasus Investors IV, L.P. CENTRAL INDEX KEY: 0001441404 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107824 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: Pegasus Investors IV GP, LLC CENTRAL INDEX KEY: 0001441405 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107825 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: LSGC Holdings LLC CENTRAL INDEX KEY: 0001503568 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 121107822 BUSINESS ADDRESS: STREET 1: C/O PEGASUS PARTNERS IV, L.P. STREET 2: 99 RIVER ROAD CITY: COS COB STATE: CT ZIP: 06807 BUSINESS PHONE: (212) 710-2500 MAIL ADDRESS: STREET 1: C/O PEGASUS PARTNERS IV, L.P. STREET 2: 99 RIVER ROAD CITY: COS COB STATE: CT ZIP: 06807 4 1 rrd352008.xml FORM 4 X0306 4 2012-09-21 0 0000866970 LIGHTING SCIENCE GROUP CORP LSCG.OB 0001032672 COGUT CRAIG M C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001259178 PEGASUS CAPITAL LLC C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001441405 Pegasus Investors IV GP, LLC C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001441404 Pegasus Investors IV, L.P. C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001431283 PEGASUS PARTNERS IV LP C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001503568 LSGC Holdings LLC C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001415185 PP IV LED, LLC C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001415186 PP IV (AIV) LED, LLC C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 0001414298 LED Holdings, LLC C/O PEGASUS CAPITAL ADVISORS, L.P. 99 RIVER ROAD COS COB CT 06807 1 0 1 0 Common Stock 2012-09-21 4 S 0 8200000 D 161660868 I See Footnotes On September 21, 2012, LED Holdings, LLC ("LED") and LED Effects, Inc. ("LED Effects") entered into a Redemption of Membership Interest pursuant to which LED redeemed the 1,000,000 Class B Units of LED held by LED Effects in exchange for 8,200,000 shares of common stock of Lighting Science Group Corporation (the "Issuer"). Craig Cogut ("Mr. Cogut") may be deemed to indirectly beneficially own 133,117,333 shares of the Issuer's common stock directly held by LSGC Holdings LLC ("Holdings") because of Mr. Cogut's relationship with Pegasus Partners IV, L.P. ("Pegasus Partners"), the managing member of Holdings. Pegasus Investors IV, L.P. ("Pegasus Investors") is the general partner of Pegasus Partners and Pegasus Investors IV GP, L.L.C. ("Pegasus GP") is the general partner of Pegasus Investors. Pegasus GP is wholly owned by Pegasus Capital, LLC ("Pegasus Capital"). Mr. Cogut may be deemed to directly or indirectly control Pegasus Capital. Mr. Cogut may be deemed to indirectly beneficially own 1,464,950 shares of the Issuer's common stock, 18,316 shares of Series I Convertible Preferred Stock (the "Series I Preferred Stock") and an option to purchase 21,131 shares of Series I Preferred Stock directly held by PCA LSG Holdings, LLC ("PCA Holdings") (Continued in footnote 3) because Pegasus Capital may be deemed to have voting and dispositive power over such securities due to its membership interest in PCA Holdings. Pegasus Capital is the managing member of PCA Holdings. Mr. Cogut also may be deemed to indirectly beneficially own 2,877,314 shares of the Issuer's common stock, 15,577 shares of Series I Preferred Stock and an option to purchase 21,131 shares of Series I Preferred Stock directly held by LSGC Holdings II LLC ("Holdings II") because Pegasus Partners may be deemed to have voting and dispositive power over such securities due to its membership interest in Holdings II. Pegasus Partners is the sole member of Holdings II. In addition, Mr. Cogut may be deemed to indirectly beneficially own 2,969,697 shares of the Issuer's common stock and an option to purchase 21,131 shares of Series I Preferred Stock directly held by Pegasus Partners because of Mr. Cogut's relationship with Pegasus Partners. (Continued in footnote 4) Mr. Cogut also may be deemed to indirectly beneficially own 20,972,496 shares of the Issuer's common stock directly held by LED due to his relationship with Holdings which may be deemed to have voting and dispositive power over the shares as a member of LED. In addition, PP IV LED, LLC ("PP IV") and PP IV (AIV) LED, LLC ("PP IV (AIV)") may be deemed to indirectly beneficially own the 20,972,496 shares of the Issuer's common stock directly held by LED and the 133,117,333 shares of the Issuer's common stock directly held by Holdings due to their membership interests in Holdings. Furthermore, Mr. Cogut may be deemed to indirectly beneficially own 137,754 shares of the Issuer's common stock and 121,324 shares of the Issuer's restricted common stock that represent payment of director fees paid by the Issuer to Pegasus Capital Advisors IV, L.P. ("Pegasus Advisors IV"). (Continued in footnote 5) Pegasus Capital Advisors IV GP, LLC ("Pegasus Advisors IV GP") is the general partner of Pegasus Advisors IV and Mr. Cogut is the sole owner and managing member of Pegasus Advisors IV GP. Mr. Cogut also may be deemed to indirectly beneficially own an option to purchase 21,131 shares of the Issuer's Series I Preferred Stock directly held by Pegasus Capital Advisors, L.P. ("Pegasus Advisors"). Pegasus Capital Advisors GP, L.L.C. ("Pegasus Advisors GP") is the general partner of Pegasus Advisors and Mr. Cogut is the sole owner and managing member of Pegasus Advisors GP. Mr. Cogut disclaims beneficial ownership of the securities directly held by Holdings, PCA Holdings, Holdings II, Pegasus Partners, LED, Pegasus Advisors IV and Pegasus Advisors except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Cogut is the beneficial owner of such securities for purposes of Section 16 or any other purpose. (Continued in footnote 6) In addition, Pegasus Capital disclaims beneficial ownership of any of the Issuer's securities directly held by PCA Holdings except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that Pegasus Capital is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Furthermore, Pegasus Capital, Pegasus GP, Pegasus Investors, Pegasus Partners, PP IV and PP IV (AIV) each disclaims beneficial ownership of any of the Issuer's securities directly held by Holdings except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Pegasus Capital, Pegasus GP, Pegasus Investors, Pegasus Partners, PP IV or PP IV (AIV) is the beneficial owner of such securities for purposes of Section 16 or any other purpose. (Continued in footnote 7) Pegasus Capital, Pegasus GP and Pegasus Investors each disclaims beneficial ownership of any of the Issuer's securities directly held by Pegasus Partners except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Pegasus Capital, Pegasus GP or Pegasus Investors is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Pegasus Capital, Pegasus GP, Pegasus Investors and Pegasus Partners each disclaims beneficial ownership of any of the Issuer's securities directly held by Holdings II except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Pegasus Capital, Pegasus GP, Pegasus Investors or Pegasus Partners is the beneficial owner of such securities for purposes of Section 16 or any other purpose. (Continued in footnote 8) Pegasus Capital, Pegasus GP, Pegasus Investors, Pegasus Partners, PP IV, PP IV (AIV) and Holdings each disclaims beneficial ownership of any of the Issuer's securities directly held by LED except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Pegasus Capital, Pegasus GP, Pegasus Investors, Pegasus Partners, PP IV, PP IV (AIV) or Holdings is the beneficial owner of such securities for purposes of Section 16 or any other purpose. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the reporting persons are deemed directors by deputization by virtue of their representation on the Board of Directors of Lighting Science Group Corporation. Craig Cogut /s/ Craig Cogut 2012-09-25 PEGASUS CAPITAL, LLC, Name: Craig Cogut, Title: President & Managing Member /s/ Craig Cogut 2012-09-25 PEGASUS INVESTORS IV GP, L.L.C., Name: Jason Schaefer, Title: General Counsel and Secretary /s/ Jason Schaefer 2012-09-25 PEGASUS INVESTORS IV, L.P., By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Jason Schaefer, Title: General Counsel and Secretary /s/ Jason Schaefer 2012-09-25 PEGASUS PARTNERS IV, L.P., By: Pegasus Investors IV, L.P., its general partner, By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Jason Schaefer, Title: General Counsel and Secretary /s/ Jason Schaefer 2012-09-25 LSGC HOLDINGS LLC, By: Pegasus Partners IV, L.P., its managing member, By: Pegasus Investors IV, L.P., its general partner, By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Jason Schaefer, Title: Secretary /s/ Jason Schaefer 2012-09-25 PP IV LED, LLC, By: Pegasus Partners IV, L.P., its sole member, By: Pegasus Investors IV, L.P., its general partner, By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Jason Schaefer, Title: General Counsel and Secretary /s/ Jason Schaefer 2012-09-25 PP IV (AIV) LED, LLC, By: Pegasus Partners IV (AIV), L.P., its sole member, By: Pegasus Investors IV, L.P., its general partner, By: Pegasus Investors IV GP, L.L.C., its general partner, Name: Jason Schaefer, Title: Secretary /s/ Jason Schaefer 2012-09-25 LED HOLDINGS, LLC, Name: Steven Wacaster, Title: Manager /s/ Steven Wacaster 2012-09-25 EX-99. 2 rrd315863_361845.htm EXHIBIT 99 rrd315863_361845.html 
                                                                      Exhibit 99

                         Form 4 Joint Filer Information

--------------------------------------------------------------------------------

Name:                                 Pegasus Capital, LLC

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807
--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------

Name:                                 Pegasus Investors IV GP, L.L.C.

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807
--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------

Name:                                 Pegasus Investors IV, L.P.

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807
--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------

Name:                                 Pegasus Partners IV, L.P.

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807
--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------

Name:                                 LSGC Holdings LLC

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807
--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------

Name:                                 PP IV LED, LLC

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807
--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------

Name:                                 PP IV (AIV) LED, LLC

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807
--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------

Name:                                 LED Holdings, LLC

--------------------------------------------------------------------------------

Address:                              C/O Pegasus Capital Advisors, L.P.
                                      99 River Road
                                      Cos Cob, CT 06807

--------------------------------------------------------------------------------

Date of Event Requiring Statement:    09/21/12

--------------------------------------------------------------------------------