Current Report Filing (8-k)
March 12 2018 - 4:17PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF
THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of Earliest Event
Reported): March 9, 2018
REAL GOODS SOLAR, INC.
(Exact Name of Registrant as Specified
in its Charter)
Colorado
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001-34044
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26-1851813
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(State or Other Jurisdiction
of Incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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110 16
th
Street, Suite 300,
Denver, CO 80202
(Address of Principal Executive Offices,
Including Zip Code)
Registrant’s telephone number,
including area code: (303) 222-8300
Not Applicable
(Former Name or Former Address, if Changed
Since Last Report)
Check the appropriate box below if the
Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions
(see General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2
of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company
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If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act.
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Item 5.02. Departure of Directors of Certain Officers; Election
of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On March 9, 2018, John Schaeffer retired from Real Goods Solar,
Inc.’s (the “Company”) board of directors for personal reasons. Mr. Schaeffer founded the Company in 1978 and
has remained on the board ever since. His retirement will provide the opportunity for Mr. Schaeffer to spend more time with his
family and grandchildren. Mr. Schaeffer’s decision to retire from the Company’s Board of Directors was not because
of a disagreement with the Company on any matter.
On October 12, 2017, the Financial Industry Regulatory Authority
(“FINRA”) contacted the Company to inquire about trading activity in the Company’s Class A common stock in the
time period surrounding the Company’s announcement of the Company’s license agreement for the POWERHOUSE™ solar
shingle system on October 4, 2017. In February 2018, FINRA notified the Company that FINRA had concluded its review and referred
the matter to the US Securities and Exchange Commission (“SEC”) for whatever action, if any, the SEC deems necessary.
Mr. Schaeffer has informed the Company that he is in contact with the SEC in connection with this matter. The Company has no information
about the nature or scope of the SEC’s involvement in this matter. Further, the Company has not received any communication,
inquiry or subpoena from the SEC in connection with this matter and has no reason to believe that the Company is implicated in
any way in this matter.
SIGNATURE
Pursuant to the requirements of the Securities
Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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REAL GOODS SOLAR, INC.
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By:
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/s/ Alan Fine
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Alan Fine
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Chief Financial Officer
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Date: March 12, 2018