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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pfund Nancy E C/O SOLARCITY CORPORATION 3055 CLEARVIEW WAY SAN MATEO, CA 94402 |
X |
Seth R. Weissman, Atty-in-Fact for Nancy Pfund | 11/18/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | On November 14, 2013, Bay Area Equity Fund I, L.P. made a pro rata, in-kind distribution, without any additional consideration, of 330,304 shares of Issuer's Common Stock to its members. |
(2) | These shares are owned directly by Bay Area Equity Fund I, L.P. |
(3) | The reporting person is a managing partner of H&Q Venture Management L.L.C., doing business as DBL Investors LLC, which is the managing member of Bay Area Equity Fund Managers I, L.L.C., the general partner of Bay Area Equity Fund I, L.P. The reporting person disclaims beneficial ownership of these shares except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. |
(4) | On November 14, 2013, Bay Area Equity Fund I, L.P. made a pro rata, in-kind distribution, without any additional consideration, of 330,304 shares of Issuer's Common Stock to its members including Ms. Pfund. Ms. Pfund received 26,459 shares from this distribution. |
(5) | These shares are owned directly by DBL Equity Fund-BAEF II, L.P. |