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 ------------------------------- Print Name