Amendment: Large owner Galkin Vladimir bought $721,472 worth of shares (70,000 units at $10.31) and sold $148,896 worth of shares (14,037 units at $10.61) (SEC Form 4)
$LUCY
Ophthalmic Goods
Health Care
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Innovative Eyewear Inc [ LUCY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/20/2024 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) 09/24/2024 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock, par value $0.00001 | 09/20/2024 | P | 45,401 | A | $10.37(1)(2) | 788,646 | D(3) | |||
| Common Stock, par value $0.00001 | 09/20/2024 | P | 24,599 | A | $10.19(1)(4) | 813,245 | D(3) | |||
| Common Stock, par value $0.00001 | 09/20/2024 | S | 10,792 | D | $10.79(1)(5) | 802,453 | D(3) | |||
| Common Stock, par value $0.00001 | 09/20/2024 | S | 3,245 | D | $10(1)(6) | 799,208 | D(3) | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. The price reported reflects the volume weighted average purchase or sale price (whichever the case may be) on the transaction date within a $0.25 range, unless otherwise noted. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased or sold at each separate price within the ranges set forth in footnotes (2) and (4) to (6) in this Form 4. |
| 2. The purchases were executed in multiple trades at prices ranging from $10.33 to $10.37. |
| 3. The shares of Common Stock are held jointly by Vladimir Galkin and Angelica Galkin, husband and wife. Accordingly, this Form 4 is being filed jointly by: (i) each of Vladimir Galkin and Angelica Galkin, husband and wife; and (ii) The Angelica Galkin Revocable Trust, dated April 21, 2018 ('Galkin Revocable Trust'). On September 20, 2024, the Galkin Revocable Trust ceased to be a beneficial owner of Common Stock upon the transfer of 799,208 shares of Common Stock of Issuer (representing all of its shares of Common Stock) to a joint account held by Vladimir Galkin and Angelica Galkin. |
| 4. The purchases were executed in multiple trades at prices ranging from $10.11 to $10.20. |
| 5. The sales were executed in multiple trades at a price of $10.79. |
| 6. The sales were executed in multiple trades at a price of $10.00. |
| Remarks: |
| The original Form 4, filed on September 24, 2024, is being amended by this Form 4 amendment solely i) to include the omitted names and addresses of Angelica Galkin and The Angelica Galkin Revocable Trust as Reporting Persons, since they were unable to obtain the necessary CIK codes by the filing date; and ii) to properly classify the Ownership Form as Direct (D). Such information was previously provided in the footnotes (other than the addresses of such Reporting Persons). |
| /s/ Vladimir Galkin, Attorney in Fact | 09/26/2024 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||