SEC Form 4/A · accession 0001179110-15-012776
Real Goods Solar, Inc. · RGSE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Dennis J Lacey
Officer — CEO and acting PFO · Director
Period of report
May 31, 2015
Accepted (ET)
Aug 31, 2015 · 5:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001425565
Table I — non-derivative securities
No Table I lines on this filing.
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)F1,F2 | $2.38 | May 31, 2015 | A | 20,000 | A | — | Jun 1, 2022 | Class A Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The reporting person is filing this Form 4 amendment to reflect that he received 20,000 options on 5/31/2015 as opposed to 25,000 options as previously reported in the original Form 4 filed on June 2, 2015. The reporting person has not field any subsequent Section 16 filings after filing the original Form 4 for this transaction.
- F225% of the option vested immediately upon grant and the remaining 75% of the option vests in 5% quarterly installments on the last day of each calendar quarter, beginning on June 30, 2015 and ending on June 30, 2020, when the option becomes fully vested.