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