Filing Details
- Accession Number:
- 0000905718-14-000788
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-03 20:58:16
- Reporting Period:
- 2014-12-01
- Filing Date:
- 2014-12-03
- Accepted Time:
- 2014-12-03 20:58:16
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
917523 | Revolution Lighting Technologies Inc. | RVLT | Electric Lighting & Wiring Equipment (3640) | 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 | 2014-12-01 | 28,092,176 | $0.00 | 75,045,868 | No | 4 | C | Indirect | By limited liability company |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2014-12-01 | 8,207,995 | $0.00 | 83,253,863 | No | 4 | P | Indirect | By limited liability company |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | By limited liability company |
No | 4 | P | Indirect | By limited liability company |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Series B Convertible Preferred Stock, par value $0.001 | Disposition | 2014-12-01 | 2 | $0.00 | 153 | $0.13 |
Common Stock, Par Value $0.001 Per Share | Series C Convertible Preferred Stock, par value $0.001 | Disposition | 2014-12-01 | 10,224 | $0.00 | 15,444,912 | $0.69 |
Common Stock, Par Value $0.001 Per Share | Series E Convertible Redeemable Preferred Stock, par $0.001 | Disposition | 2014-12-01 | 5,000 | $0.00 | 4,441,025 | $1.17 |
Common Stock, Par Value $0.001 Per Share | Series G Convertible Redeemable Preferred Stock, par $0.001 | Disposition | 2014-12-01 | 18,000 | $0.00 | 8,206,086 | $2.30 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | 2013-05-15 | No | 4 | C | Indirect | |
0 | 2013-05-15 | No | 4 | C | Indirect | |
0 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, Par Value $0.001 Per Share | 275,000 | Direct |
Footnotes
- Pursuant to the Exchange Agreement dated November 25, 2014 (the "Exchange Agreement") between Revolution Lighting Technologies, Inc. (the "Issuer") and RVL 1 LLC ("RVL") and the certificate of designations relating to each outstanding series of preferred stock of the Issuer, on December 1, 2014, RVL converted each such series of preferred stock, including accrued but unpaid dividends thereon, as applicable, into an aggregate of 28,092,176 shares of common stock, par value $0.001 per share, of the Issuer (the "Common Stock"). As consideration for RVL's conversion of preferred stock and the extinguishment of all rights relating thereto under the applicable certificate of designations, the Issuer issued to RVL 8,207,995 additional shares of Common Stock. As of December 1, 2014, Aston Capital, LLC ("Aston") held directly 800,000 shares of the Company's restricted Common Stock.
- Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series B Convertible Preferred Stock, par value $0.001 per share, of the Issuer (the "Series B Stock"), on December 1, 2014, RVL converted two outstanding shares of Series B Stock into 153 shares of Common Stock. Such shares of Series B Stock had become convertible immediately upon issuance and had no expiration date.
- Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series C Senior Convertible Preferred Stock, par value $0.001 per share, of the Issuer (the "Series C Stock"), on December 1, 2014, RVL converted 10,224 outstanding shares of Series C Stock, plus 416 shares of Series C Stock representing accrued but unpaid dividends thereon, into 15,444,912 shares of Common Stock. Such shares of Series C Stock had no expiration date.
- ) Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series E Convertible Redeemable Preferred Stock, par value $0.001 per share, of the Issuer (the "Series E Stock"), on December 1, 2014, RVL converted 5,000 outstanding shares of Series E Stock, plus 196 shares of Series E Stock representing accrued but unpaid dividends thereon, into 4,441,025 shares of Common Stock. Such shares of Series E Stock had no expiration date.
- Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series G Senior Convertible Redeemable Preferred Stock, par value $0.001 per share, of the Issuer (the "Series G Stock"), on December 1, 2014, RVL elected to convert 18,000 outstanding shares of Series G Stock, plus 874 shares of Series G Stock representing accrued but unpaid dividends thereon, into 8,206,086 shares of Common Stock. Such shares of Series G Stock had become convertible immediately upon issuance and had no expiration date.
- Aston is the managing member of RVL and may be deemed to possess the power to vote and to direct the disposition of the securities of the Issuer beneficially owned by RVL and may be deemed to beneficially own such securities. James A. DePalma is an officer of RVL and a member and officer of Aston and may be deemed to beneficially own the securities of the Issuer held by RVL and Aston. Mr. DePalma's interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.