0000905718-14-000175.txt : 20140424
0000905718-14-000175.hdr.sgml : 20140424
20140424111102
ACCESSION NUMBER: 0000905718-14-000175
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140421
FILED AS OF DATE: 20140424
DATE AS OF CHANGE: 20140424
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Revolution Lighting Technologies, Inc.
CENTRAL INDEX KEY: 0000917523
STANDARD INDUSTRIAL CLASSIFICATION: DRAWING AND INSULATING NONFERROUS WIRE [3357]
IRS NUMBER: 593046866
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 177 BROAD STREET
STREET 2: 12TH FLOOR
CITY: STAMFORD
STATE: CT
ZIP: 06901
BUSINESS PHONE: 203-504-1111
MAIL ADDRESS:
STREET 1: 177 BROAD STREET
STREET 2: 12TH FLOOR
CITY: STAMFORD
STATE: CT
ZIP: 06901
FORMER COMPANY:
FORMER CONFORMED NAME: Nexxus Lighting, Inc.
DATE OF NAME CHANGE: 20070417
FORMER COMPANY:
FORMER CONFORMED NAME: SUPER VISION INTERNATIONAL INC
DATE OF NAME CHANGE: 19940204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Basil Robert A. Jr.
CENTRAL INDEX KEY: 0001559646
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23590
FILM NUMBER: 14780599
MAIL ADDRESS:
STREET 1: C/O ASTON CAPITAL
STREET 2: 177 BROAD STREET
CITY: STAMFORD
STATE: CT
ZIP: 06901
4
1
basil_form4apr212014.xml
OWNERSHIP DOCUMENT
X0306
4
2014-04-21
0
0000917523
Revolution Lighting Technologies, Inc.
RVLT
0001559646
Basil Robert A. Jr.
C/O ASTON CAPITAL, LLC, 177 BROAD STREET
STAMFORD
CT
06901
1
0
1
0
Common Stock, par value, $0.001 per share
2014-04-21
4
A
0
300000
0
A
46953692
I
By limited liability company
Series B Convertible Preferred Stock
0.13
Common Stock, par value $0.001 per share
153
2
I
By limited liability company
Series C Convertible Preferred Stock
0.6889
Common Stock, par value $0.001 per share
14515894
10000
I
By limited liability company
Series E Convertible Redeemable Preferred Stock
1.17
Common Stock, par value $0.001 per share
4273504
5000
I
By limited liability company
Series F Convertible Redeemable Preferred Stock
4.5881
Common Stock, par value $0.001 per share
1089776
5000
I
By limited liability company
On April 21, 2014, Aston Capital, LLC ("Aston") received a grant of 300,000 shares of restricted stock, with equal vesting over three years and the first such vesting date being September 25, 2014.
As of April 21, 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 Convertible Preferred Stock, (the "Series B Stock"), (iii) 10,000 shares of Series C Convertible Preferred Stock, (the "Series C Stock"), (iv) 5,000 shares of Series E Convertible Redeemable Preferred Stock (the "Series E Stock") and (v) 5,000 shares of Series F Convertible Redeemable Preferred Stock, (the "Series F Stock"). As of April 21, 2014, Aston held directly 800,000 shares of restricted stock. Aston is the managing member of RVL. Robert A. Basil, Jr. 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. Basil Jr.'s interest in the securities reported herein is limited to the extent of his pecuniary interest.
As of April 21, 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 April 21, 2014, the 10,000 shares of Series C Stock are convertible into 14,515,894 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 April 21, 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 April 21, 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.
/s/ Robert A. Basil, Jr.
2014-04-23