0000905718-14-000214.txt : 20140513 0000905718-14-000214.hdr.sgml : 20140513 20140513162811 ACCESSION NUMBER: 0000905718-14-000214 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131220 FILED AS OF DATE: 20140513 DATE AS OF CHANGE: 20140513 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: Aston Capital, LLC CENTRAL INDEX KEY: 0001559768 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23590 FILM NUMBER: 14837712 BUSINESS ADDRESS: STREET 1: 177 BROAD STREET CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-504-1100 MAIL ADDRESS: STREET 1: 177 BROAD STREET CITY: STAMFORD STATE: CT ZIP: 06901 FORMER NAME: FORMER CONFORMED NAME: Aston Capital LLC DATE OF NAME CHANGE: 20121005 4 1 aston_form4may122014.xml OWNERSHIP DOCUMENT X0306 4 2013-12-20 0 0000917523 Revolution Lighting Technologies, Inc. RVLT 0001559768 Aston Capital, LLC 177 BROAD STREET STAMFORD CT 06901 0 0 1 0 Common Stock, par value, $0.001 per share 800000 D Common Stock, par value, $0.001 per share 46153692 I By limited liability company Series B Convertible Preferred Stock, par value $0.001 0.13 Common Stock, par value $0.001 per share 153 2 I By limited liability company Series C Convertible Preferred Stock, par value $0.001 0.6889 2013-12-20 4 J 0 224 4464.29 A Common Stock, par value $0.001 per share 14841050 10224 I By limited liability company Series E Convertible Redeemable Preferred Stock, par $0.001 1.17 Common Stock, par value $0.001 per share 4273504 5000 I By limited liability company Series F Convertible Redeemable Preferred Stock, par $0.001 4.5881 Common Stock, par value $0.001 per share 1089776 5000 I By limited liability company As of May 13, 2014, Aston Capital, LLC ("Aston") held directly 800,000 shares of restricted stock, with equal vesting over three years and the first such vesting date being September 25, 2014 As of May 13, 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 Senior Convertible Preferred Stock (the "Series B Stock"), (iii) 10,224 shares of Series C Senior Convertible Preferred Stock (the "Series C Stock"), (iv) 5,000 shares of Series E Senior Convertible Redeemable Preferred Stock (the "Series E Stock") and (v) 5,000 shares of Series F Senior Convertible Redeemable Preferred Stock, (the "Series F Stock"). Aston is the managing member of RVL. As a result of the foregoing, Aston may be deemed to posses the power to vote and to direct the disposition of the securities of the Company beneficially owned by RVL and may be deemed to beneficially own such securities. Aston's interest in the securities reported herein is limited to the extent of its pecuniary interest, if any. As of May 13, 2014, the 2 shares of Series B Stock are convertible into 153 shares of Common Stock at the option of the holder, RVL, at a conversion of $0.13 per share, subject to certain anti-dilution adjustments and have no expiration date. On May 12, 2014, RVL received a grant of 224 shares of Series C Stock as a payment in kind dividend on 10,000 shares of Series C Stock owned on the record date of December 20, 2013. As of May 13, 2014, the 224 shares of Series C Stock are convertible into 325,156 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 May 13, 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 May 13, 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 V. LaPenta, CEO, Aston Capital, LLC 2014-05-13