| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/11/2024 |
3. Issuer Name and Ticker or Trading Symbol
Innovative Eyewear Inc [ LUCY ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee Stock Option representing right to buy common stock | (1) | 01/13/2028 | Common stock | 4,500 | $25 | D | |
| Employee Stock Option representing right to buy common stock | (2) | 12/18/2028 | Common stock | 2,500 | $9 | D | |
| Explanation of Responses: |
| 1. The common stock options were issued to the Reporting Person on January 13, 2023 pursuant to the Company's 2021 Equity Incentive Plan. One-third of the options vested on January 13, 2023 (the date of the grant), one-third of the options vested on January 13, 2024, and one-third of the options will vest on January 13, 2025 subject to the Reporting Person's continued employment through such date. |
| 2. The common stock options were issued to the Reporting Person on December 18, 2023 pursuant to the Company's 2021 Equity Incentive Plan. One-third of the options vested on December 18, 2023 (the date of the grant), one-third of the options will vest on December 18, 2024, and one-third of the options will vest on December 18, 2025 subject to the Reporting Person's continued employment through such date. |
| /s/ Gayle Oswald | 10/25/2024 | |
| ** 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 5 (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. | ||