-----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, R0liJB/SVZWKLoei1I0OmufcVxfrM8WyDlGOjevuSCI4DKNvwZOXnVfTonfsCs32 P12TzZPeEk0Tl84zzKJxtg== 0000891836-09-000183.txt : 20090904 0000891836-09-000183.hdr.sgml : 20090904 20090904083835 ACCESSION NUMBER: 0000891836-09-000183 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090827 FILED AS OF DATE: 20090904 DATE AS OF CHANGE: 20090904 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: KONINKLIJKE PHILIPS ELECTRONICS NV CENTRAL INDEX KEY: 0000313216 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] STATE OF INCORPORATION: P7 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 091054892 BUSINESS ADDRESS: STREET 1: BREITNER CENTER STREET 2: AMSTELPLEIN 2 CITY: AMSTERDAM STATE: P7 ZIP: 1096 BC BUSINESS PHONE: 31 20 59 77777 MAIL ADDRESS: STREET 1: BREITNER CENTER STREET 2: AMSTELPLEIN 2 CITY: AMSTERDAM STATE: P7 ZIP: 1096 BC FORMER NAME: FORMER CONFORMED NAME: PHILIPS ELECTRONICS N V DATE OF NAME CHANGE: 19930727 FORMER NAME: FORMER CONFORMED NAME: PHILIPS NV DATE OF NAME CHANGE: 19910903 3 1 sc0081-09_ex.xml X0203 3 2009-08-27 0 0000866970 LIGHTING SCIENCE GROUP CORP LSGC 0000313216 KONINKLIJKE PHILIPS ELECTRONICS NV BREITNER CENTER AMSTELPLEIN 2 AMSTERDAM P7 1096 BC NETHERLANDS 0 0 1 0 Convertible Note 1.006 Units 4970179 D On August 27, 2009, in connection with a litigation settlement, the Issuer issued to the Reporting Person a convertible note (the "Convertible Note") in an aggregate amount of $5,000,000 in consideration of a $5,000,000 loan made by the Reporting Person to the Issuer. The Convertible Note is convertible into units (the "Units") upon the occurrence of certain events. Each Unit consists of (i) one share of the Issuer's Series D Non-Convertible Preferred Stock, and (ii) a Warrant to purchase one share of the Issuer's Common Stock. Accordingly, at the time the Convertible Note is converted into the Units, the Reporting Person will receive (i) 4,970,179 shares of Series D Non-Convertible Preferred Stock, and (ii) Warrants to purchase 4,970,179 shares of Common Stock. The Warrants are immediately exercisable after issuance at an exercise price of $12.00 and expire on the twelfth anniversary of the issuance date. The Convertible Note is not convertible at the option of the Reporting Person until the Certificate of Designation for the Series D Non-Convertible Preferred Stock is filed by the Issuer and becomes effective, as contemplated by the Convertible Note. The Convertible Note is not automatically convertible until the rights offering, as contemplated by the Convertible Note, is consummated or until the first business day following the date on which the Issuer provides the Reporting Person with written notice that Pegasus Partners IV, L.P. has converted its convertible note into Units. The maturity date is the earliest of July 31, 2010 or the consummation of the rights offering, as contemplated by the Convertible Note or the first business day following the date on which the Issuer provides the Reporting Person with written notice that Pegasus Partners IV, L.P. has converted its convertible note into Units. /s/ Eric Coutinho on behalf of Koninklijke Philips Electronics N.V. 2009-09-04 -----END PRIVACY-ENHANCED MESSAGE-----