Initial Statement of Beneficial Ownership (3)

Date : 05/16/2019 @ 7:58PM
Source : Edgar (US Regulatory)
Stock : Revolution Lighting Technologies Inc (RVLT)
Quote : 0.3097  0.0 (0.00%) @ 1:00AM
Revolution Lighting Tech... share price Chart

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Basil Robert A. Jr.

2. Date of Event Requiring Statement (MM/DD/YYYY)
5/7/2019 

3. Issuer Name and Ticker or Trading Symbol

Revolution Lighting Technologies, Inc. [RVLT]

(Last)        (First)        (Middle)

C/O ASTON CAPITAL LLC,, 117 BROAD STREET

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

STAMFORD, CT 06901       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock, par value $0.001 per share   8575386   I   By limited liability company   (1)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  RVL 1 LLC ("RVL") holds directly 8,245,386 shares of the Issuer's common stock. Aston Capital LLC ("Aston") holds 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. Mr. Basil is a partner of RVL and Aston and may be deemed to beneficially own the securities of the Issuer held by RVL and Aston. Mr. Basil's interest in the securities reported herein is limited to the extent of his pecuniary interest, if any.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Basil Robert A. Jr.
C/O ASTON CAPITAL LLC,
117 BROAD STREET
STAMFORD, CT 06901
X X


Signatures
/s/ Robert A. Basil Jr. 5/16/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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