0001179110-14-008450.txt : 20140514
0001179110-14-008450.hdr.sgml : 20140514
20140514194249
ACCESSION NUMBER: 0001179110-14-008450
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140512
FILED AS OF DATE: 20140514
DATE AS OF CHANGE: 20140514
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Real Goods Solar, Inc.
CENTRAL INDEX KEY: 0001425565
STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700]
IRS NUMBER: 261851813
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 833 WEST SOUTH BOULDER ROAD
CITY: LOUISVILLE
STATE: CO
ZIP: 80027
BUSINESS PHONE: 303-222-3600
MAIL ADDRESS:
STREET 1: 833 WEST SOUTH BOULDER ROAD
CITY: LOUISVILLE
STATE: CO
ZIP: 80027
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHAEFFER JOHN
CENTRAL INDEX KEY: 0001013997
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34044
FILM NUMBER: 14843323
MAIL ADDRESS:
STREET 1: C/O REAL GOODS TRADING CORP
STREET 2: 2001 DUNCAN SPRINGS ROAD
CITY: HOPLAND
STATE: CA
ZIP: 95449
4
1
edgar.xml
FORM 4 -
X0306
4
2014-05-12
0
0001425565
Real Goods Solar, Inc.
RGSE
0001013997
SCHAEFFER JOHN
C/O REAL GOODS SOLAR, INC.,
833 WEST SOUTH BOULDER ROAD
LOUISVILLE
CO
80027-2452
1
1
0
0
Gen. Manager Retail & Dist.
Employee Stock Option (right to buy)
2.92
2014-05-12
4
D
0
270000
D
2014-07-30
Class A Common Stock
270000
0
D
Employee Stock Option (right to buy)
2.92
2014-05-12
4
A
0
270000
A
2015-03-15
Class A Common Stock
270000
270000
D
The two reported transactions involved an amendment of an outstanding option to extend the expiration date, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option is fully vested. The option was originally granted by the company's predecessor on July 30, 2007 and assumed by the company on January 31, 2008 and provided for vesting of 50% on May 13, 2008 and 2% each month thereafter.
Exhibit List: Exhibit 24 Power of Attorney
/s/ Steven Posey
2014-05-14
EX-24.TXT
2
ex24.txt
POWER OF ATTORNEY
LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS
Know all by these presents, that the undersigned hereby makes,
constitutes and appoints Rikard D. Lundberg, Jeffrey M. Knetsch,
Anthony DiPaolo, and Steven Posey signing singly as the undersigned's
true and lawful attorney-in-fact, with full power and authority as
hereinafter described on behalf of and in the name, place and stead
of the undersigned to:
(1) prepare, execute in the undersigned's name and on the
undersigned's behalf, and submit to the U.S. Securities and Exchange
Commission (the "SEC") a Form ID, including amendments thereto, and
any other documents necessary or appropriate to obtain codes,
passwords and passphrases enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the
Securities Exchange Act of 1934 and the rules and regulations
promulgated thereunder, as amended from time to time (the "Exchange
Act");
(2) prepare, acknowledge, deliver and file Forms 3,4,and 5
(including any amendments thereto) with respect to the securities of
Real Goods Solar, Inc., a Colorado corporation (the "Company"), with
the SEC, any national securities exchanges and the Company, as
considered necessary or advisable under Section 16(a) of the Exchange
Act;
(3) seek or obtain, as the undersigned's representative and on the
undersigned's behalf, information on transactions in the Company's
securities from any third party, including brokers, employee benefit
plan administrators and trustees, and the undersigned hereby
authorizes any such person to release any such information to the
undersigned and approves and ratifies any such release of
information; and
(4) perform any and all other acts which in the discretion of such
attorney-in-fact are necessary or desirable for and on behalf of the
undersigned in connection with the foregoing.
The undersigned acknowledges that:
(1) this Power of Attorney authorizes, but does not require, such
attorney-in-fact to act in their discretion on information provided
to such attorney-in-fact without independent verification of such
information;
(2) any documents prepared and/or executed by such attorney-in-fact
on behalf of the undersigned pursuant to this Power of Attorney will
be in such form and will contain such information and disclosure as
such attorney-in-fact, in his or her discretion, deems necessary or
desirable;
(3) neither the Company nor such attorney-in-fact assumes (i) any
liability for the undersigned's responsibility to comply with the
requirement of the Exchange Act,(ii) any liability of the undersigned
for any failure to comply with such requirements, or (iii) any
obligation or liability of the undersigned for profit disgorgement
under Section 16(b) of the Exchange Act; and
(4) this Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations
under the Exchange Act, including without limitation the reporting
requirements under Section 16 of the Exchange Act.
The undersigned hereby gives and grants the foregoing attorney-
in-fact full power and authority to do and perform all and every act
and thing whatsoever requisite, necessary or appropriate to be done
in and about the foregoing matters as fully to all intents and
purposes as the undersigned might or could do if present, hereby
ratifying all that such attorney-in-fact of, for and on behalf of the
undersigned, shall lawfully do or cause to be done by virtue of this
Limited Power of Attorney.
This Power of Attorney shall remain in full force and effect
until revoked by the undersigned in a signed writing delivered to
such attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of
Attorney to be executed as of this 14th day of May, 2014.
/s/ John Schaeffer
-------------------------------
Signature
John Schaeffer
-------------------------------
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