Attached files
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EX-31.3 - SECTION 302 CEO CERTIFICATION - Real Goods Solar, Inc. | dex313.htm |
EX-31.4 - SECTION 302 CFO CERTIFICATION - Real Goods Solar, Inc. | dex314.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
(Mark One)
x | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2009
or
¨ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to .
Commission File Number 001-34044
REAL GOODS SOLAR, INC.
(Exact name of registrant as specified in its charter)
COLORADO | 26-1851813 | |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
833 WEST SOUTH BOULDER ROAD,
LOUISVILLE, CO 80027
(Address of principal executive offices)
(303) 222-8400
(Registrants telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class |
Name of Each Exchange on Which Registered | |
Class A Common Stock, $.0001 par value | NASDAQ Stock Market LLC |
Securities registered pursuant to section 12(g) of the Act:
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. YES ¨ NO x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. YES ¨ NO x
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES x NO ¨
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). YES ¨ NO ¨
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) is not contained herein, and will not be contained, to the best of registrants knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. ¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of large accelerated filer, ,accelerated filer and smaller reporting company in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ¨ | Accelerated filer | ¨ | |||
Non-accelerated filer | ¨ (Do not check if a smaller reporting company) | Smaller reporting company | x |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act.) YES ¨ NO x
The aggregate market value of the voting common equity held by non-affiliates of the registrant was approximately $14,400,623 as of June 30, 2009, based upon the closing price on the NASDAQ Global Market on that date. The registrant does not have non-voting common equity.
As of March 11, 2010, 16,136,299 shares of the registrants Class A common stock and 2,153,293 shares of the registrants Class B common stock were outstanding.
PREFATORY NOTE
Real Goods Solar, Inc. is filing this Form 10-K/A (Amendment No. 1) to include corrected certifications required by Rule 13a-14(a) under the Securities Exchange Act of 1934.
ITEM 15. | EXHIBITS |
Exhibit No. |
Description | |
31.3 |
Amended Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934. | |
31.4 |
Amended Certification of the Chief Financial Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934. |
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized
Real Goods Solar, Inc. |
/s/ John Schaeffer |
By: John Schaeffer |
President |
January 7, 2011
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
Signature |
Title |
Date | ||
/s/ Jirka Rysavy |
Chairman of the Board | January 7, 2011 | ||
Jirka Rysavy | ||||
/s/ John Schaeffer |
President and Director (Principal Executive Officer) | January 7, 2011 | ||
John Schaeffer | ||||
|
Director | , 2011 | ||
James Argyropoulos | ||||
/s/ Scott Lehman |
Director | January 7, 2011 | ||
Scott Lehman | ||||
|
Director | , 2011 | ||
Barbara Mowry | ||||
/s/ Lynn Powers |
Director | January 7, 2011 | ||
Lynn Powers | ||||
/s/ Erik Zech |
Chief Financial Officer (Principal Financial and Accounting Officer) | January 7, 2011 | ||
Erik Zech |
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