SEC Form 4 · accession 0000905718-16-001053
Revolution Lighting Technologies, Inc. · RVLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert V Lapenta
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Jan 12, 2016
Accepted (ET)
Jan 13, 2016 · 10:22 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000917523
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1 | Jan 12, 2016 | P | 83,109 | $0.7759 | A | 500,000 | D | |
| Common Stock, par value $0.001 per shareF2 | holding | — | — | — | 83,253,863 | I | By limited liability company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7549 to $0.8050, inclusive. The reporting person undertakes to provide to Revolution Lighting Technologies, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F2As of January 12, 2016, RVL 1 LLC ("RVL") held directly 82,453,863 shares of the Issuer's common stock. As of January 12, 2016, Aston Capital, LLC ("Aston") held directly 800,000 shares of the Issuer's restricted common stock. 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 V. LaPenta is a member and 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. LaPenta's interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.