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Leonberger Frederick J – ‘4’ for 12/2/22 re: Lightwave Logic, Inc.

On:  Tuesday, 12/6/22, at 4:00pm ET   ·   For:  12/2/22   ·   As:  Director   ·   Accession #:  1553350-22-990   ·   File #:  1-40766

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/06/22  Leonberger Frederick J            4          Director    1:11K  Lightwave Logic, Inc.             Edgar Filing LLC/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Ownership Document -- leonberger4.xml/3.6           HTML     11K


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Ownership Document
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  12/2/22
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1325964
Issuer Name:  Lightwave Logic, Inc.
Issuer Trading Symbol:  LWLG
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1182380
Owner Name:  LEONBERGER FREDERICK J
Reporting Owner Address:
Owner Street 1:  369 INVERNESS PARKWAY
Owner Street 2:  SUITE 350
Owner City:  ENGLEWOOD
Owner State:  CO
Owner ZIP Code:  80112
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:
Other Text:
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  12/2/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  31,000
Transaction Price Per Share:
Value:  0.73
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  36,182
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  12/2/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  31,000
Transaction Price Per Share:
Value:  7.068
Footnote ID:  F1
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  5,182
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  12/2/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  125,000
Transaction Price Per Share:
Value:  0.98
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  130,182
Footnote ID:  F2
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Employee Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  0.73
Transaction Date:
Value:  12/2/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  31,000
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F3
Expiration Date:
Value:  3/27/27
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  31,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,024,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Warrant (Right to Buy)
Conversion or Exercise Price:
Value:  0.98
Transaction Date:
Value:  12/2/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  125,000
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F4
Expiration Date:
Value:  12/31/22
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  125,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  899,000
Footnote ID:  F5
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  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.
Footnote - F2:  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.
Footnote - F3:  On 3/28/17 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.
Footnote - F4:  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.
Footnote - F5:  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.
Owner Signature:
Signature Name:  /s/ James S. Marcelli, Attorney-in-fact for Frederick J. Leonberger
Signature Date:  12/6/22


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