UNITED STATES
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SECURITIES AND EXCHANGE COMMISSION
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Washington, D.C. 20549
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SCHEDULE 13D
(Rule 13d-101)
Under the Securities Exchange Act of 1934
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(Amendment No. 2)
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Revolution Lighting Technologies, Inc.
|
(Name of Issuer)
|
Common Stock, par value $0.001 per share
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(Title of Class of Securities)
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76155G107
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(CUSIP Number)
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RVL 1 LLC
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c/o Aston Capital, LLC
|
177 Broad Street
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Stamford, CT 06901
|
with copies to: |
Marita A. Makinen, Esq. |
Lowenstein Sandler LLP |
1251 Avenue of the Americas |
New York, New York 10020 |
(646) 414-6950
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|||
(Name, Address and Telephone Number of Person
|
|||
Authorized to Receive Notices and Communications)
|
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February 21, 2013
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|||
(Date of Event which Requires Filing of this Statement)
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1
|
NAME OF REPORTING PERSON:
|
RVL 1 LLC
|
|||||||||
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON:
|
|||||||||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
|
(a) [...]
(b) [X]*
|
|||||||||
3
|
SEC USE ONLY
|
||||||||||
4
|
SOURCE OF FUNDS:
|
WC
|
|||||||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):
|
[_]
|
|||||||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION:
|
Delaware
|
|||||||||
NUMBER OF
SHARES
|
7
|
SOLE VOTING POWER:
|
0
|
||||||||
BENEFICIALLY
OWNED BY
|
8
|
SHARED VOTING POWER:
|
64,943,243**
|
||||||||
EACH
REPORTING
|
9
|
SOLE DISPOSITIVE POWER:
|
0
|
||||||||
PERSON WITH
|
10
|
SHARED DISPOSITIVE POWER:
|
64,943,243**
|
||||||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:
|
64,943,243**
|
|||||||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
|
[_]
|
|||||||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
|
72.1%***
|
|||||||||
14
|
TYPE OF REPORTING PERSON:
|
OO
|
1
|
NAME OF REPORTING PERSON:
|
Aston Capital, LLC
|
|||||||||
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON:
|
|||||||||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
|
(a) [...]
(b) [X]*
|
|||||||||
3
|
SEC USE ONLY
|
||||||||||
4
|
SOURCE OF FUNDS:
|
OO
|
|||||||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):
|
[_]
|
|||||||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION:
|
Delaware
|
|||||||||
NUMBER OF
SHARES
|
7
|
SOLE VOTING POWER:
|
0
|
||||||||
BENEFICIALLY
OWNED BY
|
8
|
SHARED VOTING POWER:
|
64,943,243**
|
||||||||
EACH
REPORTING
|
9
|
SOLE DISPOSITIVE POWER:
|
0
|
||||||||
PERSON WITH
|
10
|
SHARED DISPOSITIVE POWER:
|
64,943,243**
|
||||||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:
|
64,943,243**
|
|||||||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
|
[_]
|
|||||||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
|
72.1%***
|
|||||||||
14
|
TYPE OF REPORTING PERSON:
|
OO
|
1
|
NAME OF REPORTING PERSON:
|
Robert V. LaPenta
|
|||||||||
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON:
|
|||||||||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
|
(a) [...]
(b) [X]*
|
|||||||||
3
|
SEC USE ONLY
|
||||||||||
4
|
SOURCE OF FUNDS:
|
OO
|
|||||||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):
|
[_]
|
|||||||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION:
|
Delaware
|
|||||||||
NUMBER OF
SHARES
|
7
|
SOLE VOTING POWER:
|
0
|
||||||||
BENEFICIALLY
OWNED BY
|
8
|
SHARED VOTING POWER:
|
64,943,243**
|
||||||||
EACH
REPORTING
|
9
|
SOLE DISPOSITIVE POWER:
|
0
|
||||||||
PERSON WITH
|
10
|
SHARED DISPOSITIVE POWER:
|
64,943,243**
|
||||||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:
|
64,943,243**
|
|||||||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
|
[_]
|
|||||||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
|
72.1%***
|
|||||||||
14
|
TYPE OF REPORTING PERSON:
|
IN
|
1
|
NAME OF REPORTING PERSON:
|
James A. DePalma
|
|||||||||
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON:
|
|||||||||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
|
(a) [...]
(b) [X]*
|
|||||||||
3
|
SEC USE ONLY
|
||||||||||
4
|
SOURCE OF FUNDS:
|
OO
|
|||||||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):
|
[_]
|
|||||||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION:
|
United States
|
|||||||||
NUMBER OF
SHARES
|
7
|
SOLE VOTING POWER:
|
115,000
|
||||||||
BENEFICIALLY
OWNED BY
|
8
|
SHARED VOTING POWER:
|
64,943,243**
|
||||||||
EACH
REPORTING
|
9
|
SOLE DISPOSITIVE POWER:
|
115,000
|
||||||||
PERSON WITH
|
10
|
SHARED DISPOSITIVE POWER:
|
64,943,243**
|
||||||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:
|
65,058,243***
|
|||||||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
|
[_]
|
|||||||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
|
72.1%***
|
|||||||||
14
|
TYPE OF REPORTING PERSON:
|
IN
|
1
|
NAME OF REPORTING PERSON:
|
Robert V. LaPenta, Jr.
|
|||||||||
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON:
|
|||||||||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
|
(a) [...]
(b) [X]*
|
|||||||||
3
|
SEC USE ONLY
|
||||||||||
4
|
SOURCE OF FUNDS:
|
OO
|
|||||||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):
|
[_]
|
|||||||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION:
|
United States
|
|||||||||
NUMBER OF
SHARES
|
7
|
SOLE VOTING POWER:
|
0
|
||||||||
BENEFICIALLY
OWNED BY
|
8
|
SHARED VOTING POWER:
|
64,943,243**
|
||||||||
EACH
REPORTING
|
9
|
SOLE DISPOSITIVE POWER:
|
0
|
||||||||
PERSON WITH
|
10
|
SHARED DISPOSITIVE POWER:
|
64,943,243**
|
||||||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:
|
64,943,243**
|
|||||||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
|
[_]
|
|||||||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
|
72.1%***
|
|||||||||
14
|
TYPE OF REPORTING PERSON:
|
IN
|
1
|
NAME OF REPORTING PERSON:
|
Robert A. Basil, Jr.
|
|||||||||
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON:
|
|||||||||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
|
(a) [...]
(b) [X]*
|
|||||||||
3
|
SEC USE ONLY
|
||||||||||
4
|
SOURCE OF FUNDS:
|
OO
|
|||||||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):
|
[_]
|
|||||||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION:
|
United States
|
|||||||||
NUMBER OF
SHARES
|
7
|
SOLE VOTING POWER:
|
0
|
||||||||
BENEFICIALLY
OWNED BY
|
8
|
SHARED VOTING POWER:
|
64,943,243**
|
||||||||
EACH
REPORTING
|
9
|
SOLE DISPOSITIVE POWER:
|
0
|
||||||||
PERSON WITH
|
10
|
SHARED DISPOSITIVE POWER:
|
64,943,243**
|
||||||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:
|
64,943,243**
|
|||||||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
|
[_]
|
|||||||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
|
72.1%***
|
|||||||||
14
|
TYPE OF REPORTING PERSON:
|
IN
|
Item 3.
|
Source and Amount of Funds or Other Consideration.
|
Item 4.
|
Purpose of Transaction.
|
Item 5.
|
Interest in Securities of the Issuer.
|
Item 6.
|
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
|
|
10.1 | Investment Agreement between Revolution Lighting Technologies, Inc. and RVL 1 LLC, dated as of February 21, 2013 (incorporated by reference to Exhibit 10.1 to Registrant's Current Report on Form 8-K, as filed with the Securities and Exchange Commission on February 22, 2013) |
RVL1 LLC
|
|||||
By:
|
/s/ Robert V. LaPenta
|
||||
Name: Robert V. LaPenta
|
|||||
Title: CEO
|
|||||
ASTON CAPITAL, LLC
|
|||||
By:
|
/s/ Robert V. LaPenta
|
||||
Name: Robert V. LaPenta
|
|||||
Title: CEO
|
|||||
ROBERT V. LAPENTA | |||||
|
/s/ Robert V. LaPenta
|
||||
Robert V. LaPenta
|
|||||
JAMES A. DEPALMA | |||||
|
/s/ James A. DePalma
|
||||
James A. DePalma
|
|||||
ROBERT V. LAPENTA, JR. | |||||
|
/s/ Robert V. LaPenta, Jr.
|
||||
Robert V. LaPenta, Jr.
|
|||||
ROBERT A. BASIL, JR. | |||||
|
/s/ Robert A. Basil, Jr.
|
||||
Robert A. Basil, Jr.
|
|||||