4//SEC Filing
Basil Robert A. Jr. 4
Accession 0001140361-13-009162
CIK 0000917523other
Filed
Feb 24, 7:00 PM ET
Accepted
Feb 25, 4:33 PM ET
Size
12.5 KB
Accession
0001140361-13-009162
Insider Transaction Report
Form 4
Basil Robert A. Jr.
Director10% Owner
Transactions
- Purchase
Series E Convertible Redeemable Preferred Stock, par $0.001
2013-02-21$1000.00/sh+5,000$5,000,000→ 5,000 total(indirect: By limited liability company)Exercise: $1.17→ Common Stock, par value $0.001 per share (4,273,504 underlying)
Holdings
- 46,153,692(indirect: By limited liability company)
Common Stock, par value, $0.001 per share
- 2(indirect: By limited liability company)
Series B Convertible Preferred Stock, par value $0.001 per s
Exercise: $0.13→ Common Stock, par value $0.001 per share (153 underlying) - 10,000(indirect: By limited liability company)
Series C Convertible Preferred Stock, par value $0.001 per s
Exercise: $0.69→ Common Stock, par value $0.001 per share (14,515,894 underlying)
Footnotes (4)
- [F1]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. Robert A. Basil, Jr. is an officer of RVL and a member and officer of Aston. As a result of the foregoing, Mr. Basil Jr. may be deemed to possess 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. Basil Jr.'s interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.
- [F2]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.
- [F3]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.
- [F4]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.
Documents
Issuer
Revolution Lighting Technologies, Inc.
CIK 0000917523
Entity typeother
Related Parties
1- filerCIK 0001559646
Filing Metadata
- Form type
- 4
- Filed
- Feb 24, 7:00 PM ET
- Accepted
- Feb 25, 4:33 PM ET
- Size
- 12.5 KB