0001140361-13-034196.txt : 20130826 0001140361-13-034196.hdr.sgml : 20130826 20130826171609 ACCESSION NUMBER: 0001140361-13-034196 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130822 FILED AS OF DATE: 20130826 DATE AS OF CHANGE: 20130826 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 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: 131060868 MAIL ADDRESS: STREET 1: C/O ASTON CAPITAL LLC STREET 2: 177 BROAD STREET CITY: STAMFORD STATE: CT ZIP: 06901 4 1 doc1.xml FORM 4 X0306 4 2013-08-22 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 150000 D Common Stock, par value, $0.001 per share 46653692 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 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 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 2013-08-22 4 P 0 5000 1000 A Common Stock, par value $0.001 per share 1089776 5000 I By limited liability company As of August 22, 2013, 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 August 22, 2013, Aston Capital, LLC ("Aston") held directly 500,000 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 August 22, 2013, 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 of $0.13 per share, subject to certain anti-dilution adjustments and have no expiration date. As of August 22, 2013, 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 August 22, 2013, 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 August 22, 2013, 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 2013-08-26