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<TITLE>Form 8-K</TITLE>
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<P STYLE="line-height:3px;margin-top:0px;margin-bottom:2px;border-bottom:0.5pt solid #000000">&nbsp;</P> <P STYLE="margin-top:4px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="5"><B>UNITED STATES </B></FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="5"><B>SECURITIES AND EXCHANGE COMMISSION </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="3"><B>WASHINGTON, DC 20549 </B></FONT></P> <P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center>
<P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="5"><B>FORM 8-K
</B></FONT></P> <P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center> <P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="3"><B>CURRENT REPORT </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="3"><B>PURSUANT TO SECTION 13 OR 15(D) </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="3"><B>OF THE SECURITIES EXCHANGE ACT OF 1934
</B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="3"><B>Date of report (Date of earliest event reported) August&nbsp;22, 2013 </B></FONT></P>
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<P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="6"><B>Revolution Lighting Technologies, Inc. </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="2"><B>(Exact Name of Registrant as Specified in Its Charter) </B></FONT></P> <P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P><center>
<P STYLE="line-height:6px;margin-top:0px;margin-bottom:2px;border-bottom:1pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Delaware
</B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(State or Other Jurisdiction of Incorporation) </B></FONT></P>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>0-23590</B></FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>59-3046866</B></FONT></TD></TR>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(Commission File Number)</B></FONT></TD>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(IRS Employer Identification No.)</B></FONT></TD></TR>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>177 Broad Street, 12<FONT STYLE="font-family:Times New Roman" SIZE="1"><SUP STYLE="vertical-align:baseline; position:relative; bottom:.8ex">th</SUP></FONT><FONT
STYLE="font-family:Times New Roman" SIZE="2"> Floor, Stamford, CT</FONT></B></FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>06901</B></FONT></TD></TR>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(Address of Principal Executive Offices)</B></FONT></TD>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(Zip Code)</B></FONT></TD></TR>
</TABLE> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>(203) 504-1111 </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:Times New Roman" SIZE="1"><B>(Registrant&#146;s Telephone Number, Including Area Code) </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>N/A
</B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>(Former Name or Former Address, if Changed Since Last Report) </B></FONT></P>
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<P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (<I>see</I> General Instruction A.2. below): </FONT></P> <P STYLE="font-size:6px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </FONT></P></TD></TR></TABLE>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </FONT></P></TD></TR></TABLE>
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT></TD>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </FONT></P></TD></TR></TABLE>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </FONT></P></TD></TR></TABLE>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;1.01</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Entry into a Material Definitive Agreement. </B></FONT></TD></TR></TABLE> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">On August&nbsp;22, 2013, Revolution Lighting Technologies, Inc. (&#147;<U>Revolution</U>&#148; or the &#147;<U>Company</U>&#148;) entered into an Investment Agreement (the &#147;<U>Investment
Agreement</U>&#148;) with RVL 1 LLC (the &#147;<U>Investor</U>&#148;), an affiliate of Aston Capital, LLC, and closed the transactions contemplated by the Investment Agreement (the &#147;<U>Investment Closing</U>&#148;). The Company issued to the
Investor 5,000 shares of the Company&#146;s newly-created Series F Convertible Redeemable Preferred Stock, $.001 par value per share (the &#147;<U>Series F Stock</U>&#148;) in consideration of a cash payment of $5 million (the
&#147;<U>Investment</U>&#148;). The proceeds from the Investment are to be used to fund the Cash Consideration (as defined below) and to pay fees and expenses in connection with the Investment Agreement and the Merger Agreement (as defined below).
</FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The Series F Stock is voting and convertible into shares of the Company&#146;s common stock, $.001 par value per share (the
&#147;<U>Common Stock</U>&#148;) at any time at the option of the holder at a conversion price per share equal to $4.5881 (the &#147;<U>Conversion Price</U>&#148;). </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">For so long as shares of Series F Stock are outstanding, the Company will be prohibited from taking certain actions specified in the Series F Certificate of Designations (as defined below) without the
consent of the holders of at least a majority of the then outstanding shares of Series F Stock, including, among other things, authorization of additional shares of capital stock, increases in the size of the Board, declaration of dividends,
consummation of certain business combination transactions, and incurrence of indebtedness and liens. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The Series F Stock will
have a liquidation preference (the &#147;<U>Liquidation Preference</U>&#148;) per share equal to the greater of (i)&nbsp;$1,000 (subject to customary adjustments with respect to events affecting the Series F Stock) plus accrued but unpaid dividends
and (ii)&nbsp;such amount as would have been received had the Series F Stock converted into Common Stock immediately prior to the liquidation. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">The Company has the option to redeem all or any part of the Series F Stock for cash at any time subject to the Investor&#146;s right to convert and require delivery of shares of common stock. The
redemption price to be paid by the Company is the Liquidation Preference per share plus $100,000.00, if the Company redeems the Series F shares on or prior to the fifth anniversary of the date of the original issuance of shares of Series F Stock
(the &#147;<U>Original Issue Date</U>&#148;), or the Liquidation Preference, if the Company redeems the Series F shares after the fifth anniversary of the Original Issue Date. At the option of the holders of two-thirds (2/3rds)&nbsp;of the
then-outstanding shares of Series F Stock, the Company must redeem the number of shares of Series F Stock so requested for cash at the Liquidation Preference. Such option can only be exercised on or after the third (3rd)&nbsp;anniversary of the
Original Issue Date. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">Each share of Series F Stock shall be entitled to receive cumulative dividends payable at a rate per
annum of 7% of the Series&nbsp;F Stated Value (as defined in the Series F Certificate of Designations) then in effect (the &#147;<U>Series F Dividend</U>&#148;). Such dividends shall be payable either (i)&nbsp;in cash or (ii)&nbsp;in kind; provided,
the Company shall not make any Series F dividend payments in kind through the issuance of additional Series F Stock to the extent (and only to the extent) such issuance would require the prior approval of the stockholders of the Company pursuant to
NASDAQ Listing Rule 5636, and in lieu of such issuance, the Company will make such Series F dividend payments in cash. To the extent funds are legally available and the Company is not contractually prohibited from paying such Series F Dividend, the
Series F Dividend must be declared and paid from and including the Original Issue Date on each six-month anniversary of the Original Issue Date. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">In connection with the Investment, the Company entered into a Registration Rights Agreement Acknowledgement pursuant to which the Company acknowledged that the Registration Rights Agreement, disclosed in
the Company&#146;s Current Report on Form&nbsp;8-K filed with the SEC on September&nbsp;26, 2012, which is applicable to shares of Common Stock issuable upon conversion of other existing series of preferred stock held by the Investor, is also
applicable to the shares of Common Stock issuable upon conversion of the Series&nbsp;F Stock. </FONT></P>
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 <P STYLE="margin-top:0px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The Investment Agreement was approved by the Audit Committee of the Board. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The foregoing is a summary of the material terms of the Investment Agreement and the Series F Stock. Investors are encouraged to review
the entire text of the Investment Agreement and the Series F Certificate of Designations, copies of which are filed as Exhibit 10.1 and Exhibit 3.1 to this Report, respectively and incorporated herein by reference. </FONT></P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;2.01</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Completion of Acquisition or Disposition of Assets </B></FONT></TD></TR></TABLE> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">On August&nbsp;22, 2013, the Company completed its previously announced acquisition (the &#147;<U>Merger</U>&#148;) of Relume Technologies, Inc. (&#147;<U>Relume</U>&#148;) pursuant to the terms of the
Agreement and Plan of Merger, dated as of August&nbsp;9, 2013 (the &#147;<U>Merger Agreement</U>&#148;), by and among Revolution, Relume Acquisition Company, Inc., a wholly-owned subsidiary of Revolution (&#147;<U>Merger Sub</U>&#148;), Relume and
Beringea Invest Michigan, LLC as noteholder representative, and the noteholders named therein. Relume is a manufacturer of outdoor LED products and smart grid control systems for outdoor lighting applications. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The merger consideration consists of approximately (i)&nbsp;$5 million in cash (the &#147;<U>Cash Consideration</U>&#148;) and
(ii)&nbsp;2.1&nbsp;million shares of Common Stock (the &#147;<U>Stock Consideration</U>&#148;). The Cash Consideration was funded by the sale of Series F Stock to the Investor pursuant to the Investment Agreement. The disclosures under
Item&nbsp;1.01 are incorporated by reference in their entirety in this Item&nbsp;2.01. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The foregoing is a summary of the
material terms of the Merger and the Merger Agreement. Investors are encouraged to review the entire text of the Merger Agreement, a copy of which is filed as Exhibit 2.1 to the Company&#146;s Current Report on Form&nbsp;8-K, as filed with the
Securities and Exchange Commission on August&nbsp;15, 2013 and is incorporated herein by reference. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">On August&nbsp;22, 2013,
Revolution issued a press release announcing the closing of the Merger Agreement and the Investment Agreement. A copy of the press release is furnished herewith as Exhibit 99.1 </FONT></P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;2.03</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. </B></FONT></TD></TR></TABLE>
<P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The disclosure under Item&nbsp;1.01 is incorporated by reference in its entirety in this Item&nbsp;2.03. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">As more fully described in Item&nbsp;1.01, the Series F Stock is redeemable at the Company&#146;s option at any time subject to the
Investor&#146;s right to convert and require delivery of shares of Common Stock. Similarly, the holders of two-thirds (2/3rds)&nbsp;of the then-outstanding shares of Series F Stock have the option to require the Company to redeem all or any portion
of the Series F Stock at any time after the third (3rd)&nbsp;anniversary of the Original Issue Date. </FONT></P> <P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;3.02</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Unregistered Sales of Equity Securities </B></FONT></TD></TR></TABLE> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">Reference is made to the disclosure set forth in Items 1.01 and 2.01 above as to the Series F Stock issued to the Investor, and the Stock Consideration issuable to the Relume noteholders and the Relume
management incentive plan participants. All shares to be issued pursuant to the Investment Agreement and the Merger Agreement will be issued in a private placement and without registration under the Securities Act of 1933, as amended (the
&#147;<U>Securities Act</U>&#148;), pursuant to Section&nbsp;4(2) of the Securities Act </FONT></P>
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and Regulation D promulgated pursuant thereto (&#147;<U>Regulation&nbsp;D</U>&#148;). The exemption from registration pursuant to Regulation D will be based on, among other things, the receipt of
certifications from each of the Relume noteholders and Relume management incentive plan participants to receive Common Stock to the effect that such person is an &#147;accredited investor&#148; within the meaning of Rule 506 of Regulation D.
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;3.03</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Material Modification to Rights of Security Holders </B></FONT></TD></TR></TABLE> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">The disclosures under Items 1.01 are incorporated by reference in their entirety in this Item&nbsp;3.03. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">Pursuant to the Investment Agreement, the Company issued 5,000 shares of Series F Stock, the terms of which are more fully described in the Certificate of Designations with respect to the Series F Stock
(the &#147;<U>Series F Certificate of Designations</U>&#148;). </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The foregoing is a summary of the material terms of the Series
F Stock. Investors are encouraged to review the entire text of the Series F Certificate of Designations, a copy of which is filed as Exhibit 3.1 to this Report, and is incorporated herein by reference. </FONT></P>
<P STYLE="margin-top:18px;margin-bottom:0px"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year </B></FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2">The disclosure under Item&nbsp;3.03 is incorporated by reference in its entirety in this Item&nbsp;5.03. On August&nbsp;26, 2013, the
Company filed the Series F Certificate of Designations with the Secretary of State of the State of Delaware establishing the rights, preferences, privileges and restrictions applicable to the Series F Stock. The Certificate of Designations became
effective upon filing. </FONT></P> <P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Item&nbsp;9.01</B></FONT></TD>
<TD ALIGN="left" VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>Financial Statements and Exhibits. </B></FONT></TD></TR></TABLE> <P STYLE="margin-top:6px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2"><B>(a) Financial Statements of Businesses Acquired.</B> The Company intends to file the financial statements required by this Item by an amendment to this Report no later than 71 days after the date this
initial report on Form 8-K must be filed. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>(b) Pro Forma Financial Information.</B> The Company intends to file the
financial statements required by this Item by an amendment to this Report no later than 71 days after the date this initial report on Form 8-K must be filed. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:4%"><FONT
STYLE="font-family:Times New Roman" SIZE="2"><B>(d) Exhibits </B></FONT></P> <P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TR>
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<TD WIDTH="92%"></TD></TR>
<TR>
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="border-bottom:1px solid #000000;width:25pt" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>Exhibit<BR>No.</B></FONT></P></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="border-bottom:1px solid #000000;width:39pt" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>Description</B></FONT></P></TD></TR>


<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">&nbsp;&nbsp;2.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Agreement and Plan of Merger, dated as of August 9, 2013, by and among Revolution Lighting Technologies, Inc., Relume Acquisition Company, Inc., Relume Technologies, Inc. and
Beringea Invest Michigan, LLC as Noteholder Representative and the Noteholders named therein (incorporated by reference to Exhibit 2.1 to Registrant&#146;s Current Report on Form&nbsp;8-K, as filed with the Securities and Exchange Commission on
August 15, 2013).</FONT></TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">&nbsp;&nbsp;3.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Certificate of Designations, Preferences and Rights of the Series F Convertible Preferred Stock of Revolution Lighting Technologies, Inc.</FONT></TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">10.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Investment Agreement, dated August 22, 2013, by and among Revolution Lighting Technologies, Inc. and RVL 1 LLC (incorporated by reference to Exhibit 10.1 to Schedule 13D/A, as filed
by RVL 1 LLC with the Securities and Exchange Commission on August 26, 2013).</FONT></TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">99.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Press Release, dated August 22, 2013, regarding the Relume Merger and Investment Agreement.</FONT></TD></TR>
</TABLE>
 <p STYLE="margin-top:0px;margin-bottom:0px"><FONT SIZE="1">&nbsp;</FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2">-4-
</FONT></P>


<p Style='page-break-before:always'>
<HR  SIZE="3" style="COLOR:#999999" WIDTH="100%" ALIGN="CENTER">

 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>SIGNATURES </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px; text-indent:8%"><FONT
STYLE="font-family:Times New Roman" SIZE="2">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. </FONT></P>
<P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TR>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">August 27, 2013</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" COLSPAN="3"><FONT STYLE="font-family:Times New Roman" SIZE="2"><B>REVOLUTION LIGHTING TECHNOLOGIES, INC.</B></FONT></TD></TR>
<TR>
<TD HEIGHT="16"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD>
<TD HEIGHT="16" COLSPAN="4"></TD></TR>
<TR>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" COLSPAN="3"> <P STYLE="margin-top:0px;margin-bottom:1px;border-bottom:1px solid #000000"><FONT STYLE="font-family:Times New Roman" SIZE="2">/s/ Charles J. Schafer</FONT></P></TD></TR>
<TR>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Name:</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Charles J. Schafer</FONT></TD></TR>
<TR>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Title:</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">President and Chief Financial Officer</FONT></TD></TR>
</TABLE>
 <p STYLE="margin-top:0px;margin-bottom:0px"><FONT SIZE="1">&nbsp;</FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2">-5-
</FONT></P>


<p Style='page-break-before:always'>
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 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="2">EXHIBIT INDEX </FONT></P>
<P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="92%"></TD></TR>
<TR>
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="border-bottom:1px solid #000000;width:25pt" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>Exhibit<BR>No.</B></FONT></P></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="border-bottom:1px solid #000000;width:39pt" ALIGN="center"><FONT STYLE="font-family:Times New Roman" SIZE="1"><B>Description</B></FONT></P></TD></TR>


<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">&nbsp;&nbsp;2.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Agreement and Plan of Merger, dated as of August 9, 2013, by and among Revolution Lighting Technologies, Inc., Relume Acquisition Company, Inc., Relume Technologies, Inc. and
Beringea Invest Michigan, LLC as Noteholder Representative and the Noteholders named therein (incorporated by reference to Exhibit 2.1 to Registrant&#146;s Current Report on Form 8-K, as filed with the Securities and Exchange Commission on August
15, 2013).</FONT></TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">&nbsp;&nbsp;3.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Certificate of Designations, Preferences and Rights of the Series F Convertible Preferred Stock of Revolution Lighting Technologies, Inc.</FONT></TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">10.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Investment Agreement, dated August 22, 2013, by and among Revolution Lighting Technologies, Inc. and RVL 1 LLC (incorporated by reference to Exhibit 10.1 to Schedule 13D/A, as filed
by RVL 1 LLC with the Securities and Exchange Commission on August 26, 2013).</FONT></TD></TR>
<TR>
<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:Times New Roman" SIZE="2">99.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:Times New Roman" SIZE="2">Press Release, dated August 22, 2013, regarding the Relume Merger and Investment Agreement.</FONT></TD></TR>
</TABLE>
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[{"type": "8-K", "sequence": "1", "filename": "d589765d8k.htm", "description": "FORM 8-K", "secsgml_size_bytes": 34499}]
{"company-data": {"conformed-name": "Revolution Lighting Technologies, Inc.", "cik": "0000917523", "assigned-sic": "3357", "irs-number": "593046866", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "000-23590", "film-number": "131061428"}, "business-address": {"street1": "124 FLOYD SMITH DRIVE", "street2": "SUITE 300", "city": "CHARLOTTE", "state": "NC", "zip": "28262", "phone": "704-405-0419"}, "mail-address": {"street1": "124 FLOYD SMITH DRIVE", "street2": "SUITE 300", "city": "CHARLOTTE", "state": "NC", "zip": "28262"}, "former-company": [{"former-conformed-name": "Nexxus Lighting, Inc.", "date-changed": "20070417"}, {"former-conformed-name": "SUPER VISION INTERNATIONAL INC", "date-changed": "19940204"}]}
Form 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported) August 22, 2013
Revolution Lighting Technologies, Inc.
(Exact Name of Registrant as Specified in Its Charter)
Delaware
(State or Other Jurisdiction of Incorporation)
0-23590
59-3046866
(Commission File Number)
(IRS Employer Identification No.)
177 Broad Street, 12
th
Floor, Stamford, CT
06901
(Address of Principal Executive Offices)
(Zip Code)
(203) 504-1111
(Registrant's Telephone Number, Including Area Code)
N/A
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (
see
General Instruction A.2. below):
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 1.01
Entry into a Material Definitive Agreement.
On August 22, 2013, Revolution Lighting Technologies, Inc. ("
Revolution
" or the "
Company
") entered into an Investment Agreement (the "
Investment
Agreement
") with RVL 1 LLC (the "
Investor
"), an affiliate of Aston Capital, LLC, and closed the transactions contemplated by the Investment Agreement (the "
Investment Closing
"). The Company issued to the
Investor 5,000 shares of the Company's newly-created Series F Convertible Redeemable Preferred Stock, $.001 par value per share (the "
Series F Stock
") in consideration of a cash payment of $5 million (the
"
Investment
"). The proceeds from the Investment are to be used to fund the Cash Consideration (as defined below) and to pay fees and expenses in connection with the Investment Agreement and the Merger Agreement (as defined below).
The Series F Stock is voting and convertible into shares of the Company's common stock, $.001 par value per share (the
"
Common Stock
") at any time at the option of the holder at a conversion price per share equal to $4.5881 (the "
Conversion Price
").
For so long as shares of Series F Stock are outstanding, the Company will be prohibited from taking certain actions specified in the Series F Certificate of Designations (as defined below) without the
consent of the holders of at least a majority of the then outstanding shares of Series F Stock, including, among other things, authorization of additional shares of capital stock, increases in the size of the Board, declaration of dividends,
consummation of certain business combination transactions, and incurrence of indebtedness and liens.
The Series F Stock will
have a liquidation preference (the "
Liquidation Preference
") per share equal to the greater of (i) $1,000 (subject to customary adjustments with respect to events affecting the Series F Stock) plus accrued but unpaid dividends
and (ii) such amount as would have been received had the Series F Stock converted into Common Stock immediately prior to the liquidation.
The Company has the option to redeem all or any part of the Series F Stock for cash at any time subject to the Investor's right to convert and require delivery of shares of common stock. The
redemption price to be paid by the Company is the Liquidation Preference per share plus $100,000.00, if the Company redeems the Series F shares on or prior to the fifth anniversary of the date of the original issuance of shares of Series F Stock
(the "
Original Issue Date
"), or the Liquidation Preference, if the Company redeems the Series F shares after the fifth anniversary of the Original Issue Date. At the option of the holders of two-thirds (2/3rds) of the
then-outstanding shares of Series F Stock, the Company must redeem the number of shares of Series F Stock so requested for cash at the Liquidation Preference. Such option can only be exercised on or after the third (3rd) anniversary of the
Original Issue Date.
Each share of Series F Stock shall be entitled to receive cumulative dividends payable at a rate per
annum of 7% of the Series F Stated Value (as defined in the Series F Certificate of Designations) then in effect (the "
Series F Dividend
"). Such dividends shall be payable either (i) in cash or (ii) in kind; provided,
the Company shall not make any Series F dividend payments in kind through the issuance of additional Series F Stock to the extent (and only to the extent) such issuance would require the prior approval of the stockholders of the Company pursuant to
NASDAQ Listing Rule 5636, and in lieu of such issuance, the Company will make such Series F dividend payments in cash. To the extent funds are legally available and the Company is not contractually prohibited from paying such Series F Dividend, the
Series F Dividend must be declared and paid from and including the Original Issue Date on each six-month anniversary of the Original Issue Date.
In connection with the Investment, the Company entered into a Registration Rights Agreement Acknowledgement pursuant to which the Company acknowledged that the Registration Rights Agreement, disclosed in
the Company's Current Report on Form 8-K filed with the SEC on September 26, 2012, which is applicable to shares of Common Stock issuable upon conversion of other existing series of preferred stock held by the Investor, is also
applicable to the shares of Common Stock issuable upon conversion of the Series F Stock.
-2-
The Investment Agreement was approved by the Audit Committee of the Board.
The foregoing is a summary of the material terms of the Investment Agreement and the Series F Stock. Investors are encouraged to review
the entire text of the Investment Agreement and the Series F Certificate of Designations, copies of which are filed as Exhibit 10.1 and Exhibit 3.1 to this Report, respectively and incorporated herein by reference.
Item 2.01
Completion of Acquisition or Disposition of Assets
On August 22, 2013, the Company completed its previously announced acquisition (the "
Merger
") of Relume Technologies, Inc. ("
Relume
") pursuant to the terms of the
Agreement and Plan of Merger, dated as of August 9, 2013 (the "
Merger Agreement
"), by and among Revolution, Relume Acquisition Company, Inc., a wholly-owned subsidiary of Revolution ("
Merger Sub
"), Relume and
Beringea Invest Michigan, LLC as noteholder representative, and the noteholders named therein. Relume is a manufacturer of outdoor LED products and smart grid control systems for outdoor lighting applications.
The merger consideration consists of approximately (i) $5 million in cash (the "
Cash Consideration
") and
(ii) 2.1 million shares of Common Stock (the "
Stock Consideration
"). The Cash Consideration was funded by the sale of Series F Stock to the Investor pursuant to the Investment Agreement. The disclosures under
Item 1.01 are incorporated by reference in their entirety in this Item 2.01.
The foregoing is a summary of the
material terms of the Merger and the Merger Agreement. Investors are encouraged to review the entire text of the Merger Agreement, a copy of which is filed as Exhibit 2.1 to the Company's Current Report on Form 8-K, as filed with the
Securities and Exchange Commission on August 15, 2013 and is incorporated herein by reference.
On August 22, 2013,
Revolution issued a press release announcing the closing of the Merger Agreement and the Investment Agreement. A copy of the press release is furnished herewith as Exhibit 99.1
Item 2.03
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
The disclosure under Item 1.01 is incorporated by reference in its entirety in this Item 2.03.
As more fully described in Item 1.01, the Series F Stock is redeemable at the Company's option at any time subject to the
Investor's right to convert and require delivery of shares of Common Stock. Similarly, the holders of two-thirds (2/3rds) of the then-outstanding shares of Series F Stock have the option to require the Company to redeem all or any portion
of the Series F Stock at any time after the third (3rd) anniversary of the Original Issue Date.
Item 3.02
Unregistered Sales of Equity Securities
Reference is made to the disclosure set forth in Items 1.01 and 2.01 above as to the Series F Stock issued to the Investor, and the Stock Consideration issuable to the Relume noteholders and the Relume
management incentive plan participants. All shares to be issued pursuant to the Investment Agreement and the Merger Agreement will be issued in a private placement and without registration under the Securities Act of 1933, as amended (the
"
Securities Act
"), pursuant to Section 4(2) of the Securities Act
-3-
and Regulation D promulgated pursuant thereto ("
Regulation D
"). The exemption from registration pursuant to Regulation D will be based on, among other things, the receipt of
certifications from each of the Relume noteholders and Relume management incentive plan participants to receive Common Stock to the effect that such person is an "accredited investor" within the meaning of Rule 506 of Regulation D.
Item 3.03
Material Modification to Rights of Security Holders
The disclosures under Items 1.01 are incorporated by reference in their entirety in this Item 3.03.
Pursuant to the Investment Agreement, the Company issued 5,000 shares of Series F Stock, the terms of which are more fully described in the Certificate of Designations with respect to the Series F Stock
(the "
Series F Certificate of Designations
").
The foregoing is a summary of the material terms of the Series
F Stock. Investors are encouraged to review the entire text of the Series F Certificate of Designations, a copy of which is filed as Exhibit 3.1 to this Report, and is incorporated herein by reference.
Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
The disclosure under Item 3.03 is incorporated by reference in its entirety in this Item 5.03. On August 26, 2013, the
Company filed the Series F Certificate of Designations with the Secretary of State of the State of Delaware establishing the rights, preferences, privileges and restrictions applicable to the Series F Stock. The Certificate of Designations became
effective upon filing.
Item 9.01
Financial Statements and Exhibits.
(a) Financial Statements of Businesses Acquired.
The Company intends to file the financial statements required by this Item by an amendment to this Report no later than 71 days after the date this
initial report on Form 8-K must be filed.
(b) Pro Forma Financial Information.
The Company intends to file the
financial statements required by this Item by an amendment to this Report no later than 71 days after the date this initial report on Form 8-K must be filed.
(d) Exhibits
Exhibit
No.
Description
2.1
Agreement and Plan of Merger, dated as of August 9, 2013, by and among Revolution Lighting Technologies, Inc., Relume Acquisition Company, Inc., Relume Technologies, Inc. and
Beringea Invest Michigan, LLC as Noteholder Representative and the Noteholders named therein (incorporated by reference to Exhibit 2.1 to Registrant's Current Report on Form 8-K, as filed with the Securities and Exchange Commission on
August 15, 2013).
3.1
Certificate of Designations, Preferences and Rights of the Series F Convertible Preferred Stock of Revolution Lighting Technologies, Inc.
10.1
Investment Agreement, dated August 22, 2013, by and among Revolution Lighting Technologies, Inc. and RVL 1 LLC (incorporated by reference to Exhibit 10.1 to Schedule 13D/A, as filed
by RVL 1 LLC with the Securities and Exchange Commission on August 26, 2013).
99.1
Press Release, dated August 22, 2013, regarding the Relume Merger and Investment Agreement.
-4-
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
August 27, 2013
REVOLUTION LIGHTING TECHNOLOGIES, INC.
/s/ Charles J. Schafer
Name:
Charles J. Schafer
Title:
President and Chief Financial Officer
-5-
EXHIBIT INDEX
Exhibit
No.
Description
2.1
Agreement and Plan of Merger, dated as of August 9, 2013, by and among Revolution Lighting Technologies, Inc., Relume Acquisition Company, Inc., Relume Technologies, Inc. and
Beringea Invest Michigan, LLC as Noteholder Representative and the Noteholders named therein (incorporated by reference to Exhibit 2.1 to Registrant's Current Report on Form 8-K, as filed with the Securities and Exchange Commission on August
15, 2013).
3.1
Certificate of Designations, Preferences and Rights of the Series F Convertible Preferred Stock of Revolution Lighting Technologies, Inc.
10.1
Investment Agreement, dated August 22, 2013, by and among Revolution Lighting Technologies, Inc. and RVL 1 LLC (incorporated by reference to Exhibit 10.1 to Schedule 13D/A, as filed
by RVL 1 LLC with the Securities and Exchange Commission on August 26, 2013).
99.1
Press Release, dated August 22, 2013, regarding the Relume Merger and Investment Agreement.
-6-