SEC Form 4 · accession 0000905718-18-000342
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
Mar 27, 2018
Accepted (ET)
Mar 29, 2018 · 7:21 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 shareF2 | Mar 27, 2018 | P | 26,476 | $3.46 | A | 1,001,476 | D | |
| Common Stock, par value $0.001 per shareF1 | holding | — | — | — | 8,575,386 | I | By limited liability company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As of March 29, 2018, RVL 1 LLC ("RVL") held directly 8,245,386 shares of the Issuer's common stock. As of March 29, 2018, Aston Capital, LLC ("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. 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.
- F2This transaction was executed in multiple trades at prices ranging from $3.41 to $3.48. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.