UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shulkin Jonathan K C/O SOLARCITY CORPORATION 3055 CLEARVIEW WAY SAN MATEO, CA 94402 |
 X |  |  |  |
/s/Jonathan K. Shulkin | 03/20/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Valor Solar Holdings, LLC is the record and beneficial owner of 2,583,976 shares. Reporting person is managing director of Valor Equity Partners, the managing member of Valor Solar Holdings LLC and reporting person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. |
(2) | Valor VC, LLC is the record and beneficial owner of 41,500 shares. Reporting person is managing director of Valor Equity Partners, the managing member of Valor VC LLC and reporting person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. |