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
- 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).
- 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.
- 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.