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: 69 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-20: Reporting owner LaPenta Robert V Jr; Form 4; Security Series C Convertible Preferred Stock, par value $0.001; Transaction J Other acquisition or disposition (describe transaction).
- 2013-12-20: Reporting owner RVL 1 LLC; Form 4; Security Series C Convertible Preferred Stock, par value $0.001; Transaction J Other acquisition or disposition (describe transaction).
- 2013-12-20: Reporting owner Basil Robert A. Jr.; Form 4; Security Series C Convertible Preferred Stock, par value $0.001; Transaction J Other acquisition or disposition (describe transaction).
- 2013-12-20: Reporting owner DePalma James; Form 4; Security Series C Convertible Preferred Stock, par value $0.001; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-20 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +224 10,224 owned after | $4,464.29 | 2014-05-13 | |
| 2013-12-20 | RVL 1 LLC 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Direct | J Other acquisition or disposition (describe transaction) | +224 10,224 owned after | $4,464.29 | 2014-05-13 | |
| 2013-12-20 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +224 10,224 owned after | $4,464.29 | 2014-05-13 | |
| 2013-12-20 | DePalma James Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +224 10,224 owned after | $4,464.29 | 2014-05-13 | |
| 2013-12-20 | Aston Capital, LLC 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Indirect · By limited liability company | J Other acquisition or disposition (describe transaction) | +224 10,224 owned after | $4,464.29 | 2014-05-13 | |
| 2013-12-20 | 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 | J Other acquisition or disposition (describe transaction) | +224 10,224 owned after | $4,464.29 | 2014-05-13 | |
| 2013-09-11 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 | 2013-09-11 | |
| 2013-09-11 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 | 2013-09-11 | |
| 2013-09-11 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 | 2013-09-11 | |
| 2013-09-11 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 | 2013-09-11 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 holding as of filing | Basil Robert A. 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 holding as of filing | Aston Capital, LLC | RVL 1 LLC 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Direct | Holding | 2 owned after | $0.13 exercise price | 2013-08-26 | |
| 2013-08-26 holding as of filing | Aston Capital, LLC | RVL 1 LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 Derivative · Direct | Holding | 10,000 owned after | $0.69 exercise price | 2013-08-26 | |
| 2013-08-26 holding as of filing | Aston Capital, LLC | RVL 1 LLC 10% Owner | 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | Holding | 5,000 owned after | $1.17 exercise price | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-26 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 | 2013-08-26 | |
| 2013-08-22 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-08-26 | |
| 2013-08-22 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-08-26 | |
| 2013-08-22 | Aston Capital, LLC | RVL 1 LLC 10% Owner | 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-08-26 | |
| 2013-08-22 | DePalma James Director, 10% Owner | 4 | Series F Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-08-26 | |
| 2013-08-22 | 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 | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-08-26 | |
| 2013-06-24 holding as of filing | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2013-06-24 | |
| 2013-06-24 holding as of filing | DePalma James Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By limited liability company | Holding | 10,000 owned after | $0.69 exercise price | 2013-06-24 | |
| 2013-06-24 holding as of filing | DePalma James 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 | 2013-06-24 | |
| 2013-05-30 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 | 2013-05-30 | |
| 2013-05-30 holding as of filing | Basil Robert A. 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 | 2013-05-30 | |
| 2013-05-30 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 | 2013-05-30 | |
| 2013-05-30 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 | 2013-05-30 | |
| 2013-05-30 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 | 2013-05-30 | |
| 2013-05-30 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 | 2013-05-30 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 holding as of filing | Aston Capital, LLC 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-29 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 | 2013-05-29 | |
| 2013-05-22 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 | 2013-05-22 | |
| 2013-05-22 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 | 2013-05-22 | |
| 2013-05-22 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 | 2013-05-22 | |
| 2013-02-25 holding as of filing | 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 | Holding | 2 owned after | $0.13 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | 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 | Holding | 10,000 owned after | $0.69 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | 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 | Holding | 2 owned after | $0.13 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | 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 | Holding | 10,000 owned after | $0.69 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | DePalma James Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | DePalma James Director, 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | 10,000 owned after | $0.69 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | LAPENTA ROBERT V Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | 2 owned after | $0.13 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | LAPENTA ROBERT V Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Indirect · By limited liability company | Holding | 10,000 owned after | $0.69 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | RVL 1 LLC | Aston Capital, LLC 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 per s Derivative · Direct | Holding | 2 owned after | $0.13 exercise price | 2013-02-25 | |
| 2013-02-25 holding as of filing | RVL 1 LLC | Aston Capital, LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock, par value $0.001 per s Derivative · Direct | Holding | 10,000 owned after | $0.69 exercise price | 2013-02-25 | |
| 2013-02-21 | Basil Robert A. Jr. Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-02-25 | |
| 2013-02-21 | LaPenta Robert V Jr Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-02-25 | |
| 2013-02-21 | DePalma James Director, 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-02-25 | |
| 2013-02-21 | LAPENTA ROBERT V Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Indirect · By limited liability company | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-02-25 | |
| 2013-02-21 | RVL 1 LLC | Aston Capital, LLC 10% Owner | 10% Owner | 4 | Series E Convertible Redeemable Preferred Stock, par $0.001 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1,000.00 | 2013-02-25 |