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: 22 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-31: Reporting owner LAPENTA ROBERT V; Form 5; Security Series B Convertible Preferred Stock, par value $0.001 per s; Transaction G Bona fide gift.
- 2012-12-31: Reporting owner LAPENTA ROBERT V; Form 5; Security Series C Convertible Preferred Stock, par value $0.001 per s; Transaction G Bona fide gift.
- 2012-12-20: Reporting owner LaPenta Robert V Jr; Form 4; Security Series B Convertible Preferred Stock, par value $0.001 per s; Transaction C Conversion of derivative security.
- 2012-12-20: Reporting owner LaPenta Robert V Jr; Form 4; Security Series C Convertible Preferred Stock, par value $0.001 per s; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-31 | LAPENTA ROBERT V Director, Officer (Chief Executive Officer), 10% Owner | 5 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | G Bona fide gift | −2 153 owned after | $0.13 exercise price | 2013-02-14 | |
| 2012-12-31 | LAPENTA ROBERT V Director, Officer (Chief Executive Officer), 10% Owner | 5 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | G Bona fide gift | −10,000 10,000 owned after | $0.69 exercise price | 2013-02-14 | |
| 2012-12-20 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | C Conversion of derivative security | −371,812 2 owned after | $0.13 exercise price | 2012-12-21 | |
| 2012-12-20 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $1,000.00 | 2012-12-21 | |
| 2012-12-20 | LAPENTA ROBERT V Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | C Conversion of derivative security | −371,812 2 owned after | $0.13 exercise price | 2012-12-21 | |
| 2012-12-20 | LAPENTA ROBERT V Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $1,000.00 | 2012-12-21 | |
| 2012-12-20 | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | C Conversion of derivative security | −371,812 2 owned after | $0.13 exercise price | 2012-12-21 | |
| 2012-12-20 | DePalma James Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $1,000.00 | 2012-12-21 | |
| 2012-12-20 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | C Conversion of derivative security | −371,812 2 owned after | $0.13 exercise price | 2012-12-21 | |
| 2012-12-20 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $1,000.00 | 2012-12-21 | |
| 2012-12-20 | Aston Capital LLC | RVL 1 LLC 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Direct | C Conversion of derivative security | −371,812 2 owned after | $0.13 exercise price | 2012-12-21 | |
| 2012-12-20 | Aston Capital LLC | RVL 1 LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $1,000.00 | 2012-12-21 | |
| 2012-10-05 holding as of filing | Aston Capital LLC | RVL 1 LLC 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Direct | Holding | $0.13 exercise price | 2012-10-05 | ||
| 2012-10-05 holding as of filing | DePalma James Director, 10% Owner | 3 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | $0.13 exercise price | 2012-10-05 | ||
| 2012-10-05 holding as of filing | LaPenta Robert V Jr Director, 10% Owner | 3 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | $0.13 exercise price | 2012-10-05 | ||
| 2012-10-05 holding as of filing | LAPENTA ROBERT V Director, 10% Owner | 3 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability companies | Holding | $0.13 exercise price | 2012-10-05 | ||
| 2012-10-05 holding as of filing | Basil Robert A. Jr. Director, 10% Owner | 3 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | $0.13 exercise price | 2012-10-05 | ||
| 2012-10-03 | RVL 1 LLC | Aston Capital LLC 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Direct | C Conversion of derivative security | −228,186 371,814 owned after | $0.13 exercise price | 2012-10-05 | |
| 2012-10-03 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | C Conversion of derivative security | −228,186 371,814 owned after | $0.13 exercise price | 2012-10-05 | |
| 2012-10-03 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | C Conversion of derivative security | −228,186 371,814 owned after | $0.13 exercise price | 2012-10-05 | |
| 2012-10-03 | LAPENTA ROBERT V Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability companies | C Conversion of derivative security | −228,186 371,814 owned after | $0.13 exercise price | 2012-10-05 | |
| 2012-10-03 | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | C Conversion of derivative security | −228,186 371,814 owned after | $0.13 exercise price | 2012-10-05 |