4//SEC Filing
Revolution Lighting Technologies, Inc. 4
Accession 0000905718-14-000786
CIK 0000917523operating
Filed
Dec 2, 7:00 PM ET
Accepted
Dec 3, 8:55 PM ET
Size
20.0 KB
Accession
0000905718-14-000786
Insider Transaction Report
Form 4
Basil Robert A. Jr.
Director10% Owner
Transactions
- Purchase
Common Stock, par value $0.001 per share
2014-12-01+8,207,995→ 83,253,863 total(indirect: By limited liability company) - Conversion
Series C Convertible Preferred Stock, par value $0.001
2014-12-01−10,224→ 0 total(indirect: By limited liability company)Exercise: $0.69From: 2013-05-15→ Common Stock, par value $0.001 per share (15,444,912 underlying) - Conversion
Series B Convertible Preferred Stock, par value $0.001
2014-12-01−2→ 0 total(indirect: By limited liability company)Exercise: $0.13→ Common Stock, par value $0.001 per share (153 underlying) - Conversion
Series G Convertible Redeemable Preferred Stock, par $0.001
2014-12-01−18,000→ 0 total(indirect: By limited liability company)Exercise: $2.30→ Common Stock, par value $0.001 per share (8,206,086 underlying) - Conversion
Common Stock, par value $0.001 per share
2014-12-01+28,092,176→ 75,045,868 total(indirect: By limited liability company) - Conversion
Series E Convertible Redeemable Preferred Stock, par $0.001
2014-12-01−5,000→ 0 total(indirect: By limited liability company)Exercise: $1.17From: 2013-05-15→ Common Stock, par value $0.001 per share (4,441,025 underlying)
Footnotes (6)
- [F1]Pursuant to the Exchange Agreement dated November 25, 2014 (the "Exchange Agreement") between Revolution Lighting Technologies, Inc. (the "Issuer") and RVL 1 LLC ("RVL") and the certificate of designations relating to each outstanding series of preferred stock of the Issuer, on December 1, 2014, RVL converted each such series of preferred stock, including accrued but unpaid dividends thereon, as applicable, into an aggregate of 28,092,176 shares of common stock, par value $0.001 per share, of the Issuer (the "Common Stock"). As consideration for RVL's conversion of preferred stock and the extinguishment of all rights relating thereto under the applicable certificate of designations, the Issuer issued to RVL 8,207,995 additional shares of Common Stock. As of December 1, 2014, Aston Capital, LLC ("Aston") held directly 800,000 shares of the Company's restricted Common Stock.
- [F2]Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series B Convertible Preferred Stock, par value $0.001 per share, of the Issuer (the "Series B Stock"), on December 1, 2014, RVL converted two outstanding shares of Series B Stock into 153 shares of Common Stock. Such shares of Series B Stock had become convertible immediately upon issuance and had no expiration date.
- [F3]Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series C Senior Convertible Preferred Stock, par value $0.001 per share, of the Issuer (the "Series C Stock"), on December 1, 2014, RVL converted 10,224 outstanding shares of Series C Stock, plus 416 shares of Series C Stock representing accrued but unpaid dividends thereon, into 15,444,912 shares of Common Stock. Such shares of Series C Stock had no expiration date.
- [F4]Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series E Convertible Redeemable Preferred Stock, par value $0.001 per share, of the Issuer (the "Series E Stock"), on December 1, 2014, RVL converted 5,000 outstanding shares of Series E Stock, plus 196 shares of Series E Stock representing accrued but unpaid dividends thereon, into 4,441,025 shares of Common Stock. Such shares of Series E Stock had no expiration date.
- [F5]Pursuant to the Exchange Agreement and the Certificate of Designations, Preferences and Rights relating to the Series G Senior Convertible Redeemable Preferred Stock, par value $0.001 per share, of the Issuer (the "Series G Stock"), on December 1, 2014, RVL elected to convert 18,000 outstanding shares of Series G Stock, plus 874 shares of Series G Stock representing accrued but unpaid dividends thereon, into 8,206,086 shares of Common Stock. Such shares of Series G Stock had become convertible immediately upon issuance and had no expiration date.
- [F6]Aston is the managing member of RVL and may be deemed to possess the power to vote and to direct the disposition of the securities of the Issuer beneficially owned by RVL and may be deemed to beneficially own such securities. Robert A. Basil, Jr. is an officer of RVL and a member and officer of Aston and may be deemed to beneficially own the securities of the Issuer held by RVL and Aston. Mr. Basil, Jr.'s interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.
Documents
Issuer
Revolution Lighting Technologies, Inc.
CIK 0000917523
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000917523
Filing Metadata
- Form type
- 4
- Filed
- Dec 2, 7:00 PM ET
- Accepted
- Dec 3, 8:55 PM ET
- Size
- 20.0 KB