-----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, Wf4I5aNG2v0PaDWsrC63VBntTRL9tDHuTSbA6jhOURDH6oAXn2mGGzQGqi/QkdeJ 3J5byE5/JO9HKSu+ab0iXw== 0001140361-10-010272.txt : 20100305 0001140361-10-010272.hdr.sgml : 20100305 20100305145019 ACCESSION NUMBER: 0001140361-10-010272 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100303 FILED AS OF DATE: 20100305 DATE AS OF CHANGE: 20100305 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20354 FILM NUMBER: 10660324 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 4 1 doc1.xml FORM 4 X0303 4 2010-03-03 0 0000866970 LIGHTING SCIENCE GROUP CORP LSCG.PK 0000313216 KONINKLIJKE PHILIPS ELECTRONICS NV BREITNER CENTER AMSTELPLEIN 2 AMSTERDAM P7 1096 BC NETHERLANDS 0 0 1 0 Series D Non-Convertible Preferred Stock 2010-03-03 4 C 0 5330482 A 5330482 D Convertible Note 1.006 2010-03-03 4 C 0 5330482 D 2010-03-03 2010-03-03 Units 5330482 0 D Warrant 12.00 2010-03-03 4 C 0 5330482 A 2010-03-03 2022-03-03 Common Stock 5330482 5330482 D On August 27, 2009, in connection with a litigation settlement, the Issuer issued to the Reporting Person 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. On March 3, 2010, the Convertible Note was automatically converted into Units of the Issuer, on which date the outstanding aggregate principal and interest amount of the Convertible Note was $5,362,465.75. 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. After the conversion of the Convertible Note into the Units, the Reporting Person received 5,330,482 Units, which consist of (i) 5,330,482 shares of the Issuer's Series D Non-Convertible Preferred Stock, and (ii) Warrants to purchase 5,330,482 shares of the Issuer's Common Stock. The Convertible Note was not convertible at the option of the Reporting Person until the Certificate of Designation for the Series D Non-Convertible Preferred Stock was filed by the Issuer and became effective, as contemplated by the Convertible Note. The Convertible Note was not automatically convertible until the rights offering, as contemplated by the Convertible Note, was consummated or until the first business day following the date on which the Issuer provided the Reporting Person with written notice that Pegasus Partners IV, L.P. had converted its convertible note into Units. The rights offering, as contemplated by the Convertible Note, was consummated on March 3, 2010. The maturity date was 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 provided the Reporting Person with written notice that Pegasus Partners IV, L.P. had converted its convertible note into Units. The rights offering, as contemplated by the Convertible Note, was consummated on March 3, 2010. /s/ Marcio Barbosa, Vice President and Corporate Treasury on behalf of Koninklijke Philips Electronics N.V. 2010-03-05 -----END PRIVACY-ENHANCED MESSAGE-----