0001140361-13-009155.txt : 20130225
0001140361-13-009155.hdr.sgml : 20130225
20130225162943
ACCESSION NUMBER: 0001140361-13-009155
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130221
FILED AS OF DATE: 20130225
DATE AS OF CHANGE: 20130225
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: 13639403
MAIL ADDRESS:
STREET 1: C/O L-1 INVESTMENT PARTNERS LLC
STREET 2: 177 BROAD STREET
CITY: STAMFORD
STATE: CT
ZIP: 06901
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: 124 FLOYD SMITH DRIVE
STREET 2: SUITE 300
CITY: CHARLOTTE
STATE: NC
ZIP: 28262
BUSINESS PHONE: 704-405-0419
MAIL ADDRESS:
STREET 1: 124 FLOYD SMITH DRIVE
STREET 2: SUITE 300
CITY: CHARLOTTE
STATE: NC
ZIP: 28262
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
4
1
doc1.xml
FORM 4
X0306
4
2013-02-21
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
115000
D
Common Stock, par value, $0.001 per share
46153692
I
By limited liability company
Series B Convertible Preferred Stock, par value $0.001 per s
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 per s
0.6889
Common Stock, par value $0.001 per share
14515894
10000
I
By limited liability company
Series E Convertible Redeemable Preferred Stock, par $0.001
1.17
2013-02-21
4
P
0
5000
1000
A
Common Stock, par value $0.001 per share
4273504
5000
I
By limited liability company
As of February 21, 2013, RVL 1 LLC ("RVL") held directly (i) 46,153,692 shares of shares of common stock, par value $0.001 (the "Common Stock"), (ii) 2 shares of Series B Convertible Preferred Stock, par value $0.001 per share (the "Series B Stock"), (iii) 10,000 shares of Series C Convertible Preferred Stock, par value $0.001 per share (the "Series C Stock") and (iv) 5,000 shares of Series E Convertible Redeemable Preferred Stock, par value $0.001 per share (the "Series E Stock"). Aston Capital, LLC ("Aston") is the managing member of RVL. James A. DePalma is an officer of RVL and a member and officer of Aston. As a result of the foregoing, Mr. DePalma possesses 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. Mr. DePalma's interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.
As of February 21, 2013, 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 has no expiration date.
As of February 21, 2013, the 10,000 shares of Series C Stock are non-convertible. The Series C Stock is not currently convertible but will become 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, after Revolution Lighting Technologies, Inc. (the "Company") has complied with the requirements of Rule 14c-2 of the Securities Exchange Act of 1934, as amended, with respect to the written consent of the majority stockholder of the Company, dated as of December 20, 2012, approving the issuance of Common Stock upon conversion of the Series C Stock pursuant to Nasdaq Listing Rule 5635. The Series C Stock has no expiration date.
As of February 21, 2013, the 5,000 shares of Series E Stock are non-convertible. The Series E Stock is not currently convertible but will become 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, subject to certain anti-dilution adjustments, after the Company has complied with the requirements of Rule 14c-2 of the Securities Exchange Act of 1934, as amended, with respect to the written consent of the majority stockholder of the Company, dated as of February 21, 2013, approving the issuance of Common Stock upon conversion of the Series E Stock pursuant to Nasdaq Listing Rule 5635. The Series E Stock has no expiration date.
/s/ James A. DePalma
2013-02-25