0001553350-23-000398.txt : 20230721 0001553350-23-000398.hdr.sgml : 20230721 20230721160006 ACCESSION NUMBER: 0001553350-23-000398 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230719 FILED AS OF DATE: 20230721 DATE AS OF CHANGE: 20230721 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: 231102530 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 ownership.xml X0508 4 2023-07-19 0 0001325964 Lightwave Logic, Inc. LWLG 0001182380 LEONBERGER FREDERICK J 369 INVERNESS PARKWAY SUITE 350 ENGLEWOOD CO 80112 1 0 0 0 0 Common Stock 2023-07-19 4 M 0 19000 0.73 A 173128 D Common Stock 2023-07-19 4 M 0 30000 0.84 A 203128 D Common Stock 2023-07-19 4 S 0 49000 7.75 D 154128 D Employee Stock Option (Right to Buy) 0.73 2023-07-19 4 M 0 19000 0.00 D 2027-03-27 Common Stock 19000 1005000 D Employee Stock Option (Right to Buy) 0.84 2023-07-19 4 M 0 30000 0.00 D 2029-01-13 Common Stock 30000 975000 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 $7.57 to $7.95. 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. On 03/28/2017 the Issuer granted the Reporting Person an option to purchase up to 200,000 shares of Issuer 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. On 01/14/2019 the Issuer granted the Reporting Person an option to purchase up to 60,000 shares of Issuer stock that vest pursuant to the following schedule: 25% of the options vest immediately, and the remaining options vest in three equal quarterly installments of 25% of the options granted commencing on April 1, 2019. Includes employee stock options to purchase up to 375,000,000 shares of Issuer common stock and warrants to purchase up to 600,000 shares of Issuer common stock. /s/ James S. Marcelli, Attorney-in-fact for Frederick J. Leonberger 2023-07-21