Filing Details

Accession Number:
0001181431-12-064917
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-14 19:31:20
Reporting Period:
2012-12-12
Filing Date:
2012-12-14
Accepted Time:
2012-12-14 19:31:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
917523 Revolution Lighting Technologies Inc. RVLT Drawing & Insulating Of Nonferrous Wire (3357) 593046866
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1347872 James Depalma C/O Aston Capital, Llc, 177 Broad Street
Stamford CT 06901
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share Acquisiton 2012-12-12 55,000 $0.74 95,000 No 4 P Direct
Common Stock, Par Value $0.001 Per Share Acquisiton 2012-12-13 20,000 $0.77 115,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share 17,552,769 Indirect By limited liability company
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock, Par Value $0.001 Per Share Series B Convertible Prfrd Stock, par value $0.001 per share $0.13 0 371,814 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
0 371,814 Indirect
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.724 to $0.764, inclusive. The reporting person undertakes to provide to Revolution Lighting Technologies, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of s hares sold at each separate price within the ranges set forth in this footnote (1).
  2. As of December 14, 2012, RVL 1 LLC ("RVL") held directly (i) 17,552,769 shares of common stock par value $0.001 (the "Common Stock") and (ii) 371,814 shares of Series B Convertible Preferred Stock par value $0.001 per share (the "Preferred Stock"). Aston Capital LLC ("Aston") is the managing member of RVL. James A. DePalma is an officer of RVL and a member and officer of Aston. As a result of the foregoing, Mr. DePalma possesses the power to vote and to direct the disposition of the securities of the Company beneficially owned by RVL and may be deemed to beneficially own such securities. Mr. DePalma's interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.
  3. The 371,814 shares of Preferred Stock are convertible into 28,601,076 shares of Common Stock at the option of the holder, RVL, at a conversion price of $0.13 per share, subject to certain anti-dilution adjustments, and have no expiration date.