Filing Details

Accession Number:
0000905718-14-000779
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-03 20:42:21
Reporting Period:
2014-12-01
Filing Date:
2014-12-03
Accepted Time:
2014-12-03 20:42:21
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
1559768 Aston Capital, Llc C/O Aston Capital, Llc
177 Broad Street
Stamford CT 06901
No 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 74,245,868 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 82,453,863 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 800,000 Direct
Footnotes
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. Previously, 5,404.31 shares of Series G Stock were reported as directly owned by RVL, and 12,595.69 shares of Series G Stock were incorrectly reported as directly owned by Aston Capital, LLC ("Aston"). The 12,595.69 shares of Series G Stock were issued to RVL as designee of Aston.
  7. Aston is the managing member of RVL. As a result of the foregoing, Aston 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. The Reporting Person's interest in the securities reported herein is limited to the extent of its pecuniary interest, if any.