0000905718-14-000216.txt : 20140513
0000905718-14-000216.hdr.sgml : 20140513
20140513163150
ACCESSION NUMBER: 0000905718-14-000216
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: DePalma James
CENTRAL INDEX KEY: 0001347872
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23590
FILM NUMBER: 14837781
MAIL ADDRESS:
STREET 1: C/O ASTON CAPITAL LLC
STREET 2: 177 BROAD STREET
CITY: STAMFORD
STATE: CT
ZIP: 06901
4
1
depalma_form4may122014.xml
OWNERSHIP DOCUMENT
X0306
4
2013-12-20
0
0000917523
Revolution Lighting Technologies, Inc.
RVLT
0001347872
DePalma James
C/O ASTON CAPITAL, LLC, 177 BROAD STREET
STAMFORD
CT
06901
1
0
1
0
Common Stock, par value $0.001 per share
225000
D
Common Stock, par value, $0.001 per share
46953692
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, 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"). As of May 13, 2014, Aston Capital, LLC ("Aston") held directly 800,000 shares of restricted stock. Aston is the managing member of RVL. James A. DePalma 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. DePalma's interest in the securities reported herein is limited to the extent of his pecuniary interest.
As of May 13, 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.
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/ James A. DePalma
2014-05-13