SEC Form 4 · accession 0000905718-18-000714
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
Aug 3, 2018
Accepted (ET)
Aug 6, 2018 · 7:47 am 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 | Aug 3, 2018 | J | 1,100,000 | $3.04 | A | 9,675,386 | I | By limited liability company |
| Common Stock, par value $0.001 per shareF3,F2 | Aug 3, 2018 | J | 1,100,000 | $3.04 | D | 8,575,386 | I | By limited liability company |
| Common Stock, par value $0.001 per shareF3 | Aug 3, 2018 | J | 1,000,000 | $3.04 | A | 2,001,476 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares issued to Aston Capital, LLC ("Aston") in exchange for cancellation of debt plus interest in the amount of $3,344,000 owed to Aston by the issuer pursuant to a promissory note dated June 30, 2018.
- F2As of August 6, 2018, RVL 1 LLC ("RVL") held directly 8,245,386 shares of the Issuer's common stock. As of August 6, 2018, 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.
- F3On August 3, 2018, Aston transferred 1,100,000 shares of the Issuer's common stock to certain of its members, including 1,000,000 shares to Mr. LaPenta.