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