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LIGHTBRIDGE Corp — Director's Dealing 2013
Oct 29, 2013
32688_dirs_2013-10-29_feaf8168-7647-4578-955a-6e7ed73b9903.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: LIGHTBRIDGE Corp (LTBR)
CIK: 0001084554
Period of Report: 2013-10-22
Reporting Person: MARXE AUSTIN W & GREENHOUSE DAVID M (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2378312 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants | $9 | 2017-07-27 | Common Stock (454546) | Indirect | |
| Warrants | $2.3 | 2021-04-25 | Common Stock (571428) | Indirect |
Footnotes
F1: This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman) and Special Situations Private Equity Fund, L.P. (PE). 1,486,442 shares of Common Stock are held by QP, 497,386 shares of Common Stock are held by Cayman, 394,484 shares of Common Stock are held by PE. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, Cayman and PE is limited to the extent of his pecuniary interest.
F2: This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P (QP), Special Situations Cayman Fund, L.P. (Cayman) and Special Situations Private Equity Fund, LP (PE). 357,143 Warrants are owned by QP 120,000 Warrants are owned by Cayman and 94,285 Warrants are owned by PE. The interest of Marxe and Greenhouse in the shares of Warrants owned by QP, Cayman and PE are limited to the extent of his pecuniary interest
F3: This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P (QP), Special Situations Cayman Fund, L.P. (Cayman) and Special Situations Private Equity Fund, LP (PE). 284,091 Warrants are owned by QP, 94,697 Warrants are owned by Cayman and 75,758 Warrants are owned by PE. The interest of Marxe and Greenhouse in the shares of Warrants owned by QP, Cayman and PE are limited to the extent of his pecuniary interest.
F4: The warrants described above may be exercised to the extent that the total number of shares of Common Stock then beneficially owned does not exceed4.99% of the outstanding shares. The holder may request an increase of up to 9.99% of the outstanding shares, effective on the 61st day after notice is given to the Company.