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