Revolution Lighting Technologies, Inc. 4
4 · Revolution Lighting Technologies, Inc. · Filed Aug 26, 2013
Insider Transaction Report
Form 4
Basil Robert A. Jr.
Director10% Owner
Transactions
- Purchase
Series F Convertible Redeemable Preferred Stock, par $0.001
2013-08-22$1000.00/sh+5,000$5,000,000→ 5,000 total(indirect: By limited liability company)Exercise: $4.59→ Common Stock, par value $0.001 per share (4,273,504 underlying)
Holdings
- 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) - 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) - 46,653,692(indirect: By limited liability company)
Common Stock, par value, $0.001 per share
Footnotes (5)
- [F1]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 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.
- [F2]As of August 22, 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 have no expiration date.
- [F3]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.
- [F4]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.
- [F5]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.