Filing Details

Accession Number:
0001140361-13-022377
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-05-22 19:50:14
Reporting Period:
2013-05-20
Filing Date:
2013-05-22
Accepted Time:
2013-05-22 19:50:14
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 2013-05-20 10,000 $3.74 125,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value, $0.001 Per Share 46,153,692 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 Preferred Stock, par value $0.001 $0.13 153 2 Indirect
Common Stock, Par Value $0.001 Per Share Series C Convertible Preferred Stock, par value $0.001 $0.69 14,515,894 10,000 Indirect
Common Stock, Par Value $0.001 Per Share Series E Convertible Redeemable Preferred Stock, par $0.001 $1.17 4,273,504 5,000 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
153 2 Indirect
14,515,894 10,000 Indirect
4,273,504 5,000 Indirect
Footnotes
  1. As of May 20, 2013, RVL 1 LLC ("RVL") held directly (i) 46,153,692 shares of shares of common stock, par value $0.001 (the "Common Stock"), (ii) 2 shares of Series B Convertible Preferred Stock, par value $0.001 per share (the "Series B Stock"), (iii) 10,000 shares of Series C Convertible Preferred Stock, par value $0.001 per share (the "Series C Stock") and (iv) 5,000 shares of Series E Convertible Redeemable Preferred Stock, par value $0.001 per share (the "Series E 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.
  2. As of May 20, 2013, the 2 shares of Series B Stock are convertible into 153 shares of Common Stock at any time at the option of the holder, RVL, at a conversion of $0.13 per share, subject to certain anti-dilution adjustments and have no expiration date.
  3. As of May 20, 2013, the 10,000 shares of Series C Stock are convertible into 14,515,894 shares of Common Stock at any time at the option of the holder, RVL, at a conversion price of $0.6889 per share, subject to certain anti-dilution adjustments and have no expiration date.
  4. As of May 20, 2013, the 5,000 shares of Series E Stock are convertible into 4,273,504 shares of Common Stock at any time at the option of the holder, RVL, at a conversion price of $1.17 per share, subject to certain anti-dilution adjustments and have no expiration date.