0001553350-22-000990.txt : 20221206
0001553350-22-000990.hdr.sgml : 20221206
20221206160016
ACCESSION NUMBER: 0001553350-22-000990
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221202
FILED AS OF DATE: 20221206
DATE AS OF CHANGE: 20221206
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LEONBERGER FREDERICK J
CENTRAL INDEX KEY: 0001182380
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40766
FILM NUMBER: 221447630
MAIL ADDRESS:
STREET 1: C/O RF MICRO DEVICES, INC.
STREET 2: 7628 THORNDIKE ROAD
CITY: GREENSBORO
STATE: NC
ZIP: 27409
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Lightwave Logic, Inc.
CENTRAL INDEX KEY: 0001325964
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PLASTIC PRODUCTS [3080]
IRS NUMBER: 820497368
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 369 INVERNESS PARKWAY
STREET 2: SUITE 350
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
BUSINESS PHONE: (720) 340-4949
MAIL ADDRESS:
STREET 1: 369 INVERNESS PARKWAY
STREET 2: SUITE 350
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
FORMER COMPANY:
FORMER CONFORMED NAME: THIRD-ORDER NANOTECHNOLOGIES INC
DATE OF NAME CHANGE: 20070320
FORMER COMPANY:
FORMER CONFORMED NAME: THIRD-ORDER NANOTECHNOLOIES INC
DATE OF NAME CHANGE: 20070222
FORMER COMPANY:
FORMER CONFORMED NAME: PSI TEC HOLDINGS INC
DATE OF NAME CHANGE: 20050503
4
1
leonberger4.xml
OWNERSHIP DOCUMENT
X0306
4
2022-12-02
0
0001325964
Lightwave Logic, Inc.
LWLG
0001182380
LEONBERGER FREDERICK J
369 INVERNESS PARKWAY
SUITE 350
ENGLEWOOD
CO
80112
1
0
0
0
Common Stock
2022-12-02
4
M
0
31000
0.73
A
36182
D
Common Stock
2022-12-02
4
S
0
31000
7.068
D
5182
D
Common Stock
2022-12-02
4
X
0
125000
0.98
A
130182
D
Employee Stock Option (Right to Buy)
0.73
2022-12-02
4
M
0
31000
0
D
2027-03-27
Common Stock
31000
1024000
D
Warrant (Right to Buy)
0.98
2022-12-02
4
X
0
125000
0
D
2022-12-31
Common Stock
125000
899000
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. Share prices on this transaction ranged from $7.03 to $7.16. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote to this Form 4.
The amount of securities reported in Column 5 includes a restricted stock award of 5,182 shares that vest in 3 equal annual installments over 3 years, with the first installment vesting December 31, 2022, subject to continued service with the Company through the applicable vesting dates. Any unvested 5,182 award shares are subject to forfeiture.
On 03/28/2017 the registrant granted the reporting person an option to purchase up to 200,000 shares of company stock that vest pursuant to the following schedule: 50,000 options vest on April 1, 2017, and the remaining options vest in three equal annual installments of 50,000 options per year commencing on the 1st day of each one year anniversary of the initial vesting date.
The warrant vests as follows: 31,256 on December 13, 2012 with remainder vesting in equal monthly installments of 7,812 over the next 12 months thereafter.
Includes employee stock options to purchase up to 299,000 shares of common stock and warrants to purchase up to 600,000 shares of common stock.
/s/ James S. Marcelli, Attorney-in-fact for Frederick J. Leonberger
2022-12-06