SEC Form 4 · accession 0001179110-15-002750
Real Goods Solar, Inc. · RGSE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Belluck
Director
Period of report
Feb 12, 2015
Accepted (ET)
Feb 17, 2015 · 9:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001425565
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Feb 12, 2015 | A | 79,861 | $0.36 | A | 79,861 | D | |
| Class A Common StockF2 | holding | — | — | — | 7,830,647 | I | By Riverside Renewable Energy Investments, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee stock option (right to buy)F3 | $0.36 | Feb 12, 2015 | A | 50,000 | A | — | Feb 12, 2022 | Class A Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Issued in lieu of cash consideration for director services rendered.
- F2David Belluck controls Riverside Partners III, LLC, which is the general partner of Riverside Partners III, LP, which is the general partner of Riverside Fund III, LP. Riverside Renewable Energy Investments, LLC is a wholly owned subsidiary of Riverside Fund III, LP. As such, Mr. Belluck may be deemed to indirectly control Riverside Renewable Energy Investments, LLC and may also be deemed to have indirect beneficial ownership of the Real Goods Solar, Inc. shares directly beneficially owned by Riverside Renewable Energy Investments, LLC; however, Mr. Belluck disclaims such beneficial ownership.
- F3The option vests in 8.33% quarterly installments on the first day of each calendar quarter, beginning on April 1, 2015 and ending on April 1, 2018, when the option becomes fully vested.
Remarks
Exhibit List: Exhibit 24 Power of Attorney