Filing Details

Accession Number:
0000905718-14-000781
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-03 20:45:31
Reporting Period:
2014-12-01
Filing Date:
2014-12-03
Accepted Time:
2014-12-03 20:45:31
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
1543405 Jr V Robert Lapenta C/O Aston Capital
177 Broad St., 12Th Floor
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
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. As of December 1, 2014, Aston Capital, LLC ("Aston") held directly 800,000 shares of the Company's restricted 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. 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. The Robert V. LaPenta Jr. 2012 Trust (the "Trust") is a member of RVL. Mr. LaPenta, Jr. is an officer of RVL, a member and officer of Aston, a trustee and the beneficiary of the Trust and may be deemed to beneficially own the securities of the Issuer held by RVL and Aston. Mr. LaPenta, Jr.'s interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.