4//SEC Filing
Basil Robert A. Jr. 4
Accession 0001140361-13-023438
CIK 0000917523other
Filed
May 29, 8:00 PM ET
Accepted
May 30, 5:07 PM ET
Size
11.9 KB
Accession
0001140361-13-023438
Insider Transaction Report
Form 4
Basil Robert A. Jr.
Director10% Owner
Transactions
- Award
Common Stock, par value, $0.001 per share
2013-05-15+500,000→ 46,653,692 total(indirect: By limited liability company)
Holdings
- 2(indirect: By limited liability company)
Series B Convertible Preferred Stock, par value $0.001
Exercise: $0.13→ Common Stock, par value $0.001 per share (153 underlying) - 5,000(indirect: By limited liability company)
Series E Convertible Redeemable Preferred Stock, par $0.001
Exercise: $1.17→ Common Stock, par value $0.001 per share (4,273,504 underlying) - 10,000(indirect: By limited liability company)
Series C Convertible Preferred Stock, par value $0.001
Exercise: $0.69→ Common Stock, par value $0.001 per share (14,515,894 underlying)
Footnotes (5)
- [F1]On May 15, 2013, Aston Capital, LLC ("Aston") received a grant of 500,000 shares of restricted stock with equal vesting over three years and the first such vesting date being September 25, 2013, pursuant to a management services agreement with the Company.
- [F2]As of May 15, 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"). As of May 15, 2013, Aston held directly 500,000 shares of restricted stock. Aston is the managing member of RVL. Robert A. Basil, Jr. 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. Basil Jr.'s interest in the securities reported herein is limited to the extent of his pecuniary interest.
- [F3]As of May 15, 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.
- [F4]As of May 15, 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.
- [F5]As of May 15, 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, subject to certain anti-dilution adjustments and have no expiration date.
Documents
Issuer
Revolution Lighting Technologies, Inc.
CIK 0000917523
Entity typeother
Related Parties
1- filerCIK 0001559646
Filing Metadata
- Form type
- 4
- Filed
- May 29, 8:00 PM ET
- Accepted
- May 30, 5:07 PM ET
- Size
- 11.9 KB