0001181431-12-053981.txt : 20121005 0001181431-12-053981.hdr.sgml : 20121005 20121005213407 ACCESSION NUMBER: 0001181431-12-053981 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121003 FILED AS OF DATE: 20121005 DATE AS OF CHANGE: 20121005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LaPenta Robert V Jr CENTRAL INDEX KEY: 0001543405 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23590 FILM NUMBER: 121133317 MAIL ADDRESS: STREET 1: C/O ASTON CAPITAL STREET 2: 177 BROAD ST., 12TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06901 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Nexxus Lighting, 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: SUPER VISION INTERNATIONAL INC DATE OF NAME CHANGE: 19940204 4 1 rrd357953.xml FORM 4 X0306 4 2012-10-03 0 0000917523 Nexxus Lighting, Inc. NEXS 0001543405 LaPenta Robert V Jr C/O ASTON CAPITAL, LLC, 177 BROAD STREET STAMFORD CT 06901 1 0 1 0 Common Stock, par value $0.001 per share 2012-10-03 4 C 0 17552769 0.13 A 17552769 I By limited liability company Series B Convertible Preferred Stock, par value $0.001 per s 0.13 2012-10-03 4 C 0 228186 0 D Common Stock, par value $0.001 per share 17552769 371814 I By limited liability company On October 3, 2012, RVL 1 LLC ("RVL") converted 228,186 shares of Series B Convertible Preferred Stock, par value $0.001 per share (the "Preferred Stock") into 17,552,769 shares of common stock, par value $0.001 (the "Common Stock"). As of October 3, 2012, RVL held directly (i) 17,552,769 shares of Common Stock and (ii) 371,814 shares of Preferred Stock. Aston Capital LLC ("Aston") is the managing member of RVL. Robert V. LaPenta, Jr. is an officer of RVL and a member and officer of Aston. As a result of the foregoing, Mr. LaPenta Jr. possesses the power to vote and to direct the disposition of the securities of Nexxus Lighting, Inc. (the "Company") beneficially owned by RVL and may be deemed to beneficially own such securities. Mr. LaPenta Jr.'s interest in the securities reported herein is limited to the extent of his pecuniary interest, if any. The 228,186 shares of Preferred Stock are convertible into 17,552,769 shares of Common Stock 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. The 371,814 shares of Preferred Stock are convertible into 28,601,076 shares of Common Stock 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. As of October 3, 2012 there is an insufficient number of authorized shares of Common Stock to effect the full conversion of the Preferred Stock. Accordingly, as of October 3, 2012, the Company has reserved 1,824,317 shares of Common Stock for issuance upon conversion of 23,716 shares of Preferred Stock. The Company anticipates increasing the authorized number of Common Stock, at which point it will reserve the entire 28,601,076 shares of Common Stock necessary for the conversion of all of the Preferred Stock. /s/ Robert V. LaPenta, Jr. 2012-10-05