SEC Form 4 · accession 0000905718-16-001405
Revolution Lighting Technologies, Inc. · RVLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert V LaPenta Jr.
Director · 10% Owner
Period of report
May 12, 2016
Accepted (ET)
May 13, 2016 · 5:43 pm EDT
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,F2,F3 | May 12, 2016 | A | 250,000 | $0.00 | A | 8,575,386 | I | By limited liability company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On May 12, 2016, the Issuer's Board of Directors approved a grant of 250,000 shares of restricted common stock, par value $0.001 per share, to Aston Capital, LLC ("Aston") with equal vesting over three years and with the first such vesting date being May 12, 2017.
- F2As adjusted for the one-for-ten reverse split of the Issuer's common stock effective as of March 11, 2016.
- F3As of May 12, 2016, RVL 1 LLC ("RVL") held directly 8,245,386 shares of the Issuer's common stock. As of May 12, 2016, Aston held directly 330,000 shares of the Issuer's 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. The Robert V. LaPenta Jr. 2012 Trust (the "Trust") is a member of RVL. Mr. LaPenta, Jr. is an officer of RVL, a member and officer of Aston, a trustee and the beneficiary of the Trust and may be deemed to beneficially own the securities of the Issuer held by RVL and Aston. Mr. LaPenta, Jr.'s interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.