Lightwave Logic, Inc. 10-Q

Item 4 Controls and Procedures Evaluation of Disclosure Controls and Procedures. The Company’s management, with the participation of the Company’s Principal Executive Officer and Principal Financial Officer, evaluated the effectiveness of the Company’s disclosure controls and procedures (as defined in Rules 13a-15(e) and 15d-15(e) under the Securities Exchange Act of 1934, as amended) as of June 30, 2021. Based on this evaluation, the Company’s Principal Executive Officer and Principal Financial Officer concluded that, as of June 30, 2021 the Company’s disclosure controls and procedures were effective, in that they provide reasonable assurance that information required to be disclosed by the Company in the reports that it files or submits under the Securities Exchange Act of 1934, as amended, is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission’s rules and forms, and is accumulated and communicated to the Company’s management, including the Company’s Principal Executive Officer and Principal Financial Officer, as appropriate to allow timely decisions regarding required disclosure. Changes in Internal Control Over Financial Reporting. There were no changes in our internal control over financial reporting during the quarter ended June 30, 2021 that have materially affected, or are reasonably likely to materially affect, our internal control over financial reporting. 30 PART II – OTHER INFORMATION Item 2 Recent Sales of Unregistered Securities During the period covered by this report, our Company has sold the following securities without registering the securities under the Securities Act: Date Security June 2021 Common Stock — 150,000 shares of Common Stock at $.63 per share pursuant to a warrant exercise. June 2021 Common Stock — 25,000 shares of Common Stock at $.64 per share pursuant to a warrant exercise. June 2021 Common Stock — 25,000 shares of Common Stock at $.67 per share pursuant to a warrant exercise. No underwriters were utilized, and no commissions or fees were paid with respect to any of the above transactions. These persons were the only offerees in connection with these transactions. We relied on Section 4(a)(2) and Rule 506 of Regulation D of the Securities Act since the transaction does not involve any public offering. Item 6 Exhibits The following exhibits are included herein: Exhibit No . Description of Exhibit Location 10.1 Employee Agreement – Michael Lebby Incorporated by reference to the Company’s Current Report on Form 8-K as filed with the SEC on March 22, 2017 10.2 Employee Agreement Amendment 1 - Michael Lebby Incorporated by reference to the Company’s Current Report on Form 8-K as filed with the SEC on April 10, 2019 10.3 Employee Agreement Amendment 2 – Michael Lebby Incorporated by reference to the Company’s Current Report on Form 8-K as filed with the SEC on April 20, 2021 10.4 Employee Agreement - James Marcelli Incorporated by reference to Company’s Form 10-Q as filed with the SEC on August 12, 2015 10.5 Employee Agreement Amendment 1 - James Marcelli Incorporated by reference to the Company’s Current Report on Form 8-K as filed with the SEC on March 22, 2017 10.6 Employee Agreement Amendment 2 - James Marcelli Incorporated by reference to the Company’s Current Report on Form 8-K as filed with the SEC on April 10, 2019 10.7 Employee Agreement Amendment 3 - James Marcelli Incorporated by reference to the Company’s Current Report on Form 8-K as filed with the SEC on April 20, 2021 31.1 Certification pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, executed by the Principal Executive Officer of the Company. Filed herewith 31.2 Certification pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, executed by the Principal Financial Officer of the Company. Filed herewith 32.1 Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, executed by the Principal Executive Officer of the Company. Filed herewith 32.2 Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, executed by the Principal Financial Officer of the Company. Filed herewith 101.INS Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) 101.SCH Inline XBRL Taxonomy Extension Schema Document 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) 31 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 thereunto duly authorized. LIGHTWAVE LOGIC, INC. Registrant By: /s/ Michael S. Lebby Michael S. Lebby, Chief Executive Officer (Principal Executive Officer) Date: August 16, 2021 By: /s/ James S. Marcelli James S. Marcelli, President, Chief Operating Officer (Principal Financial Officer) Date: August 16, 2021 32