# EDGAR Filing Document

**Accession Number:** 0001325964
**File Stem:** 0001553350-23-000156
**Filing Date:** 2023-3
**Character Count:** 9299
**Document Hash:** aad47111ad436a9dc67f4b74d9586204
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001553350-23-000156.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0001553350-23-000156

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230303

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Lightwave Logic, Inc.
- **CENTRAL INDEX KEY:** 0001325964
- **STANDARD INDUSTRIAL CLASSIFICATION:** MISCELLANEOUS PLASTIC PRODUCTS [3080]
- **IRS NUMBER:** 820497368
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40766
- **FILM NUMBER:** 23705960

**BUSINESS ADDRESS:**
- **STREET 1:** 369 INVERNESS PARKWAY
- **STREET 2:** SUITE 350
- **CITY:** ENGLEWOOD
- **STATE:** CO
- **ZIP:** 80112
- **BUSINESS PHONE:** (720) 340-4949

**MAIL ADDRESS:**
- **STREET 1:** 369 INVERNESS PARKWAY
- **STREET 2:** SUITE 350
- **CITY:** ENGLEWOOD
- **STATE:** CO
- **ZIP:** 80112

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** THIRD-ORDER NANOTECHNOLOGIES INC
- **DATE OF NAME CHANGE:** 20070320

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** THIRD-ORDER NANOTECHNOLOIES INC
- **DATE OF NAME CHANGE:** 20070222

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PSI TEC HOLDINGS INC
- **DATE OF NAME CHANGE:** 20050503

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported) **March 3, 2023**

**Lightwave Logic, Inc.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Nevada** | **001-40766** | **82-0497368** |
| (State or other jurisdiction<br> of incorporation) | (Commission<br> File Number) | (IRS Employer<br> Identification Number) |

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**369 Inverness Parkway, Suite 350, Englewood, CO 80112**

(Address of principal executive offices, including Zip Code)

**(720) 340-4949**

(Registrant's telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading**<br> **Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| Common Stock, par value $0.001 per share | LWLG | The Nasdaq Stock Market LLC |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 8.01 Other Events.**

On March 3, 2023, Lightwave Logic, Inc., a Nevada corporation (the "<u>Company</u>") filed a prospectus supplement with the Securities and Exchange Commission to the Company's Shelf Registration Statement on Form S-3 (File No. 333-257670) registering shares of the Company's common stock, par value $0.001 per share (the "<u>Shares</u>"), issuable pursuant to its purchase agreement dated February 28, 2023 with Lincoln Park Capital Fund, LLC (the "<u>Purchase Agreement</u>"). Snell & Wilmer, L.L.P., special counsel to the Company, has issued a legal opinion relating to the Shares issuable under the Purchase Agreement. A copy of such legal opinion, including the consent included therein, is attached as Exhibit 5.1 hereto.

**Item 9.01 Financial Statements and Exhibits.** 

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| | | |
|:---|:---|:---|
| **Exhibit<br> No.** | **Description** | **Location** |
| 5.1 | [Opinion of Snell & Wilmer, L.L.P.](lwlg_ex5z1.htm) | Filed herewith |
| 23.1 | [Consent of Snell & Wilmer, L.L.P.](lwlg_ex5z1.htm) | Contained in Exhibit 5.1 |
| 104 | Cover Page Interactive Data File | (embedded within the Inline XBRL document) |

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**SIGNATURES** 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | |
|:---|:---|
| LIGHTWAVE LOGIC, INC. | LIGHTWAVE LOGIC, INC. |
| By: | /s/ James S. Marcelli |
| Name:&nbsp;&nbsp;&nbsp;&nbsp; | James S. Marcelli |
| Title: | President |

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Dated: March 3, 2023

## Exhibit 23.1

**EXHIBIT 23.1**

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| |
|:---|
| Snell & Wilmer |
| 50 West Liberty Street |
| Suite 510 |
| Reno, NV 89501 |
| 775.785.5440 p |
| 775.785.5441 F |

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March 3, 2023

Lightwave Logic, Inc.

369 Inverness Parkway, Suite 350

Englewood, Colorado 80112

Re: Prospectus Supplement

Ladies and Gentlemen:

We have acted as special counsel for Lightwave Logic, Inc. (the "Company") in connection with the prospectus supplement dated February 28, 2023 (the "Prospectus Supplement") to be filed pursuant to Rule 424(b)(5) of the Securities and Exchange Commission (the "SEC") under the Securities Act of 1933, as amended, (the "Securities Act") relating to the registration of up to (i) $30,000,000 of the Company's common stock, par value $0.001 per share (the "Purchase Shares"), (ii) 50,891 shares of the Company's common stock, par value $0.001 per share (the "Initial Commitment Shares"), and (iii) up to 101,781 shares of the Company's common stock, par value $0.001 per share (the "Additional Commitment Shares") (all collectively, the "Shares"). The Shares are being sold and issued pursuant to a purchase agreement between the Company and Lincoln Park Capital Fund, LLC dated as of February 28, 2023 (the "Purchase Agreement"). The Prospectus Supplement is part of the Registration Statement on Form S-3 (File No. 333-257670) filed with the SEC on July 2, 2021 and declared effective on July 9, 2021 (the "Registration Statement"). Capitalized terms used in this letter which are not otherwise defined shall have the meanings given to such terms in the Purchase Agreement.

You have requested our opinion as to the matters set forth below in connection with the Prospectus Supplement. For purposes of rendering this opinion, we have examined the Registration Statement, the Prospectus Supplement, the Purchase Agreement, the Company's articles of incorporation, as amended, and bylaws, as amended, and the corporate action of the Company that provides for the issuance of the Purchase Shares and Commitment Shares, and we have made such other investigation as we have deemed appropriate. We have examined and relied upon certificates of public officials and, as to certain matters of fact that are material to our opinion, we have also relied on certificates made by officers of the Company. In rendering our opinion, in addition to the assumptions that are customary in opinion letters of this kind, we have assumed the genuineness of signatures on the documents we have examined, the conformity to authentic original documents of all documents submitted to us as copies, and that the Company will have sufficient authorized and unissued shares of common stock available with respect to any of the Purchase Shares or Commitment Shares issued after the date of this letter. We have not verified any of these assumptions.

Snell & Wilmer

Lightwave Logic, Inc.

March 3, 2023

This opinion is rendered as of the date of this letter and is limited to matters of Nevada corporate law, including applicable provisions of the Nevada Constitution and reported judicial decisions interpreting those laws. We express no opinion as to the laws of any other state, the federal law of the United States, or the effect of any applicable federal or state securities laws.

Based upon and subject to the foregoing, it is our opinion that the Shares were duly authorized for issuance by the Company, and when issued in accordance with the terms of the Purchase Agreement, will be validly issued, fully paid, and nonassessable.

We hereby consent to the filing of this opinion as Exhibit 5.1 to the Company's Current Report on Form 8-K to be filed with the SEC. We further consent to the reference to our firm under the caption "Legal Matters" in the Prospectus Supplement. In giving our consent, we do not admit that we are in the category of persons whose consent is required under Section 7 of the Securities Act or the rules and regulations under such act.

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| | |
|:---|:---|
| Very truly yours, |  |
| *Snell & Wilmer L.L.P* | |
| Snell & Wilmer L.L.P. |  |

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