1
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NAMES OF REPORTING PERSONS
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Lukas T. Walton
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) ☐ (b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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Not applicable
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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8,841,358
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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8,841,358
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10
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SHARED DISPOSITIVE POWER
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0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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8,841,358
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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8.3%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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Exhibit E
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Waiver of certain provisions of the Lock-Up Agreement entered into on September 16, 2020
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By:
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/s/ Lukas T. Walton
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Name: Lukas T. Walton
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Re:
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First Solar, Inc. – Lock-up Waiver
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By:
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/s/ James J. Watts |
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Name: James J. Watts
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Title: Executive Director
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