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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Series B Convertible Preferred Stock, par value $0.001 per s | $ 0.13 | 12/31/2012 | G | 2 (1) (2) | (2) | (2) | Common Stock, par value $0.001 per share | $ 0 | 153 (2) | By limited liability company (4) | ||||
Series C Convertible Preferred Stock, par value $0.001 per s | $ 0.6889 | 12/31/2012 | G | 10,000 (1) (3) | (3) | (3) | Common Stock, par value $0.001 per share | $ 0 | 10,000 (3) | By limited liability company (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAPENTA ROBERT V C/O ASTON CAPITAL, LLC 177 BROAD STREET STAMFORD, CT 06901 |
X | X | Chief Executive Officer |
/s/ Kathleen Chin, Attorney-in-fact | 02/12/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On December 31, 2012, Robert V. LaPenta made two bonafide gifts of membership interests of RVL 1, LLC ("RVL") held by Mr. LaPenta directly. Explanatory note 4 provides a description of the securities of Revolution Lighting Technologies, Inc. (the "Company") held directly by RVL. |
(2) | 2 shares of Series B Convertible Preferred Stock, par value $0.001 per share (the "Series B Stock") are convertible into 153 shares of common stock, par value $0.001 (the "Common Stock") at anytime 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. |
(3) | As of December 31, 2012, the 10,000 shares of Series C Convertible Preferred Stock, par value $0.001 per share (the "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 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 stockholders 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. |
(4) | As of December 31, 2012, RVL held directly (i) 46,153,692 shares of Common Stock, (ii) 2 shares of Series B Stock and (iii) 10,000 shares of Series C Stock. Aston Capital LLC ("Aston") is the managing member of RVL. Robert V. LaPenta is a member and officer of RVL and a member and officer of Aston. As a result of the foregoing, Mr. LaPenta possesses 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. LaPenta's interest in the securities reported herein is limited to the extent of his pecuniary interest, if any. |