0000899243-15-001344.txt : 20150716 0000899243-15-001344.hdr.sgml : 20150716 20150716201900 ACCESSION NUMBER: 0000899243-15-001344 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150715 FILED AS OF DATE: 20150716 DATE AS OF CHANGE: 20150716 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: Riverside Renewable Energy Investments, LLC CENTRAL INDEX KEY: 0001539124 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34044 FILM NUMBER: 15992521 BUSINESS ADDRESS: STREET 1: ONE EXETER PLAZA STREET 2: 699 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-351-2800 MAIL ADDRESS: STREET 1: ONE EXETER PLAZA STREET 2: 699 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-07-15 0 0001425565 Real Goods Solar, Inc. RGSE 0001539124 Riverside Renewable Energy Investments, LLC C/O RIVERSIDE PARTNERS, LLC 699 BOYLSTON STREET, 8TH FLOOR BOSTON MA 02116 0 0 1 0 Class A Common Stock 2015-07-15 4 P 0 378156 3.29 A 1679689 D The shares of Class A Common Stock ("Common Stock") of Real Goods Solar, Inc. (the "Issuer") were issued pursuant to a Conversion Agreement, by and between Riverside Fund III, L.P. (the "Fund") and the Issuer (the "Conversion Agreement"), and assigned by the Fund to Riverside Renewable Energy Investments, LLC (the "Company") on June 25, 2015. Pursuant to the Conversion Agreement, the Company had the right to receive an additional 378,156 shares of Common Stock (the "Capacity Shares") upon delivery by the Company of one or more written notices to the Issuer of the Company's election to receive all or any portion of the Capacity Shares, so long as such issuance(s) would not result in the Company (together with its affiliates) holding shares of Common Stock in excess of 19.99% of the Issuer's outstanding shares of Common Stock immediately after giving effect to such issuance, (Continued from Footnote 1) unless the Issuer's shareholders shall have previously approved such issuance in compliance with Nasdaq Rule 5635(b). On July 15, 2015, after learning that the issuance of the Capacity Shares would not result in the Company (together with its affiliates) holding shares of Common Stock in excess of 19.99% of the Issuer's outstanding shares of Common Stock, the Company provided such notice and was issued all of the remaining Capacity Shares. Under the Conversion Agreement, such shares had a deemed price per share of $3.29. /s/ David L. Belluck, Manager of Riverside Renewable Energy Investments, LLC 2015-07-16