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