Revolution Lighting Technologies, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 90 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-01: Reporting owner DePalma James; Form 4; Security Series B Convertible Preferred Stock, par value $0.001; Transaction C Conversion of derivative security.
- 2014-12-01: Reporting owner DePalma James; Form 4; Security Series C Convertible Preferred Stock, par value $0.001; Transaction C Conversion of derivative security.
- 2014-12-01: Reporting owner DePalma James; Form 4; Security Series E Convertible Redeemable Preferred Stock, par $0.001; Transaction C Conversion of derivative security.
- 2014-12-01: Reporting owner DePalma James; Form 4; Security Series G Convertible Redeemable Preferred Stock, par $0.001; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-01 | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −2 0 owned after | $0.13 exercise price | 2014-12-03 | |
| 2014-12-01 | DePalma James Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −10,224 0 owned after | $0.69 exercise price | 2014-12-03 | |
| 2014-12-01 | DePalma James Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −5,000 0 owned after | $1.17 exercise price | 2014-12-03 | |
| 2014-12-01 | DePalma James Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −18,000 0 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-12-01 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −2 0 owned after | $0.13 exercise price | 2014-12-03 | |
| 2014-12-01 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −10,224 0 owned after | $0.69 exercise price | 2014-12-03 | |
| 2014-12-01 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −5,000 0 owned after | $1.17 exercise price | 2014-12-03 | |
| 2014-12-01 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −18,000 0 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-12-01 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −2 0 owned after | $0.13 exercise price | 2014-12-03 | |
| 2014-12-01 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −10,224 0 owned after | $0.69 exercise price | 2014-12-03 | |
| 2014-12-01 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −5,000 0 owned after | $1.17 exercise price | 2014-12-03 | |
| 2014-12-01 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −18,000 0 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-12-01 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −2 0 owned after | $0.13 exercise price | 2014-12-03 | |
| 2014-12-01 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −10,224 0 owned after | $0.69 exercise price | 2014-12-03 | |
| 2014-12-01 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −5,000 0 owned after | $1.17 exercise price | 2014-12-03 | |
| 2014-12-01 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −18,000 0 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-12-01 | Aston Capital, LLC 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −2 0 owned after | $0.13 exercise price | 2014-12-03 | |
| 2014-12-01 | Aston Capital, LLC 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −10,224 0 owned after | $0.69 exercise price | 2014-12-03 | |
| 2014-12-01 | Aston Capital, LLC 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −5,000 0 owned after | $1.17 exercise price | 2014-12-03 | |
| 2014-12-01 | Aston Capital, LLC 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | C Conversion of derivative security | −18,000 0 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-12-01 | RVL 1 LLC 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Direct | C Conversion of derivative security | −2 0 owned after | $0.13 exercise price | 2014-12-03 | |
| 2014-12-01 | RVL 1 LLC 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Direct | C Conversion of derivative security | −10,224 0 owned after | $0.69 exercise price | 2014-12-03 | |
| 2014-12-01 | RVL 1 LLC 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $1.17 exercise price | 2014-12-03 | |
| 2014-12-01 | RVL 1 LLC 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | C Conversion of derivative security | −18,000 0 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-06-30 | RVL 1 LLC 10% Owner | 4/A | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,640 7,044 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-06-30 | RVL 1 LLC 10% Owner | 4/A | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | J Other acquisition or disposition (describe transaction) | +10,956 18,000 owned after | $2.30 exercise price | 2014-12-03 | |
| 2014-06-30 | DePalma James Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | −5,000 0 owned after | $4.59 exercise price | 2014-07-02 | |
| 2014-06-30 | DePalma James Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +5,404 5,404 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | DePalma James Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +1,640 7,044 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | DePalma James Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +10,956 18,000 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | −5,000 0 owned after | $4.59 exercise price | 2014-07-02 | |
| 2014-06-30 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +5,404 5,404 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +1,640 7,044 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +10,956 18,000 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | Aston Capital, LLC 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −5,000 0 owned after | $4.59 exercise price | 2014-07-02 | |
| 2014-06-30 | Aston Capital, LLC 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +5,404 5,404 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | Aston Capital, LLC 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +1,640 7,044 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | Aston Capital, LLC 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +10,956 18,000 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | −5,000 0 owned after | $4.59 exercise price | 2014-07-02 | |
| 2014-06-30 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +5,404 5,404 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +1,640 7,044 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +10,956 18,000 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | RVL 1 LLC 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.00 Derivative · Direct | J Other acquisition or disposition (describe transaction) | −5,000 0 owned after | $4.59 exercise price | 2014-07-02 | |
| 2014-06-30 | RVL 1 LLC 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | J Other acquisition or disposition (describe transaction) | +5,404 5,404 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | −5,000 0 owned after | $4.59 exercise price | 2014-07-02 | |
| 2014-06-30 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +5,404 5,404 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +1,640 7,044 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-06-30 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series G Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +10,956 18,000 owned after | $2.30 exercise price | 2014-07-02 | |
| 2014-05-16 holding as of filing | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-05-16 | |
| 2014-05-16 holding as of filing | DePalma James Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 10,224 owned after | $0.69 exercise price | 2014-05-16 | |
| 2014-05-16 holding as of filing | DePalma James Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-05-16 | |
| 2014-05-16 holding as of filing | DePalma James Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-05-16 | |
| 2014-05-13 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | RVL 1 LLC 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Direct | Holding | 2 owned after | $0.13 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | RVL 1 LLC 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | Holding | 5,000 owned after | $1.17 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | RVL 1 LLC 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | Holding | 5,000 owned after | $4.59 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | DePalma James Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | DePalma James Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-05-13 | |
| 2014-05-13 holding as of filing | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par value, Derivative · Indirect · By limited liability company | Holding | $4.59 exercise price | 2014-05-13 | ||
| 2014-04-24 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-04-24 | |
| 2014-04-24 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 10,000 owned after | $0.69 exercise price | 2014-04-24 | |
| 2014-04-24 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-04-24 | |
| 2014-04-24 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-04-24 | |
| 2014-04-24 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-04-24 | |
| 2014-04-24 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $0.69 exercise price | 2014-04-24 | |
| 2014-04-24 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-04-24 | |
| 2014-04-24 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock Derivative · Indirect · By limited liability company | Holding | $4.59 exercise price | 2014-04-24 | ||
| 2014-04-23 holding as of filing | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.01 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | DePalma James Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 10,000 owned after | $0.69 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | DePalma James Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | DePalma James Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 10,000 owned after | $0.69 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | LAPENTA ROBERT V Director, Officer (Chairman and CEO), 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par value, Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | Holding | 10,000 owned after | $0.69 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $1.17 exercise price | 2014-04-23 | |
| 2014-04-23 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | Holding | 5,000 owned after | $4.59 exercise price | 2014-04-23 |