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Filing Details

Accession Number:: 0001179110-15-011254
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-07-16 19:40:14
Reporting Period:: 2015-07-15

Filing Date:: 2015-07-16
Accepted Time:: 2015-07-16 19:40:14
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1425565	Real Goods Solar Inc.	RGSE	Construction - Special Trade Contractors (1700)	261851813

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1021592	L David Belluck	C/O Real Goods Solar, Inc. 833 W. South Boulder Road Louisville CO 80027-2452		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2015-07-15	378,156	$3.29	1,679,689	No	4	P	Indirect	By Riverside Renewable Energy Investments, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Riverside Renewable Energy Investments, LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	3,994	Direct

Footnotes

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"), as assigned by the Fund to Riverside Renewable Energy Investments, LLC (the "Company") on June 25, 2015. Pursuant to the Conversion, 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, 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, such shares had a deemed price per share of $3.29.
David Belluck controls Riverside Partners III, L.L.C., which is the general partner of Riverside Partners III, L.P., which is the general partner of the Fund. The Company is a wholly owned subsidiary of the Fund. As such, Mr. Belluck may be deemed to indirectly control the Company and may also be deemed to have indirect beneficial ownership of the Common Stock directly beneficially owned by the Company; however, Mr. Belluck disclaims such beneficial ownership.