Filing Details
- Accession Number:
- 0000905718-14-000267
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-16 17:54:59
- Reporting Period:
- 2014-05-16
- Filing Date:
- 2014-05-16
- Accepted Time:
- 2014-05-16 16:54:59
- 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 | Acquisiton | 2014-05-16 | 25,000 | $2.20 | 250,000 | 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 | 46,953,692 | 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 | 14,841,050 | 10,224 | 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 | ||
Common Stock, Par Value $0.001 Per Share | Series F Convertible Redeemable Preferred Stock, par $0.001 | $4.59 | 1,089,776 | 5,000 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
153 | 2 | Indirect | |
14,841,050 | 10,224 | Indirect | |
4,273,504 | 5,000 | Indirect | |
1,089,776 | 5,000 | Indirect |
Footnotes
- As of May 16, 2014, RVL 1 LLC ("RVL") held directly (i) 46,153,692 shares of shares of common stock (the "Common Stock"), (ii) 2 shares of Series B Senior Convertible Preferred Stock (the "Series B Stock"), (iii) 10,224 shares of Series C Senior Convertible Preferred Stock (the "Series C Stock"), (iv) 5,000 shares of Series E Senior Convertible Redeemable Preferred Stock (the "Series E Stock") and (v) 5,000 shares of Series F Senior Convertible Redeemable Preferred Stock (the "Series F Stock"). As of May 16, 2014, Aston Capital, LLC ("Aston") held directly 800,000 shares of restricted stock. Aston is the managing member of RVL. James A. DePalma is an officer of RVL and a member and officer of Aston and possesses the power to vote and to direct the disposition of the securities of the Company beneficially owned by RVL and Aston. Mr. DePalma's interest in the securities reported herein is limited to the extent of his pecuniary interest.
- As of May 16, 2014, 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 price of $0.13 per share, subject to certain anti-dilution adjustments and have no expiration date.
- As of May 16, 2014, the 10,224 shares of Series C Stock are convertible into 14,841,050 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.
- As of May 16, 2014, 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 and have no expiration date.
- As of May 16, 2014, the 5,000 shares of Series F Stock are convertible into 1,089,776 shares of Common Stock at any time at the option of the holder, RVL, at a conversion price of $4.5881 per share and have no expiration date.