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Sunrun Inc. — Director's Dealing 2015
Aug 10, 2015
31155_dirs_2015-08-10_d2aac96b-6bc2-425f-8793-f4cda72d07ee.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Sunrun Inc. (RUN)
CIK: 0001469367
Period of Report: 2015-08-10
Reporting Person: Foundation Capital Management Co. VI, LLC (10% Owner, Mmbr 13D group owning > 10%)
Reporting Person: Foundation Capital VI Principals Fund, LLC (10% Owner, Mmbr 13D group owning > 10%)
Reporting Person: FOUNDATION CAPITAL VI LP (10% Owner, Mmbr 13D group owning > 10%)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-08-10 | Common Stock | A | 35164 | — | Acquired | 556355 | Indirect |
| 2015-08-10 | Common Stock | C | 15485113 | — | Acquired | 16041468 | Indirect |
| 2015-08-10 | Common Stock | A | 393 | — | Acquired | 6216 | Indirect |
| 2015-08-10 | Common Stock | C | 173022 | — | Acquired | 179238 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-08-10 | Series A Preferred Stock (Convertible) | $ | C | 8256563 | Disposed | Common Stock (8256563) | Indirect | |
| 2015-08-10 | Series A Preferred Stock (Convertible) | $ | C | 92255 | Disposed | Common Stock (92255) | Indirect | |
| 2015-08-10 | Series B Preferred Stock (Convertible) | $ | C | 2756383 | Disposed | Common Stock (2756383) | Indirect | |
| 2015-08-10 | Series B Preferred Stock (Convertible) | $ | C | 30798 | Disposed | Common Stock (30798) | Indirect | |
| 2015-08-10 | Series C Preferred Stock (Convertible) | $ | C | 3916208 | Disposed | Common Stock (3916208) | Indirect | |
| 2015-08-10 | Series C Preferred Stock (Convertible) | $ | C | 43757 | Disposed | Common Stock (43757) | Indirect | |
| 2015-08-10 | Series D Preferred Stock (Convertible) | $ | C | 357150 | Disposed | Common Stock (357150) | Indirect | |
| 2015-08-10 | Series D Preferred Stock (Convertible) | $ | C | 3991 | Disposed | Common Stock (3991) | Indirect | |
| 2015-08-10 | Series E Preferred Stock (Convertible) | $ | C | 198809 | Disposed | Common Stock (198809) | Indirect | |
| 2015-08-10 | Series E Preferred Stock (Convertible) | $ | C | 2221 | Disposed | Common Stock (2221) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 521191 | Indirect |
| Common Stock | 5823 | Indirect |
Footnotes
F1: Foundation Capital Management Co. VI, LLC is the sole manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B.Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Richard A. Redelfs, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of Foundation Capital Management Co. VI, LLC, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. VI, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.
F2: The shares were acquired pursuant to a Stock Issuance Agreement, the form of which is filed as Exhibit 4.4 to Amendment No. 1 to the Issuer's Registration Statement on Form S-1, filed with the Securities and Exchange Commission on July 22, 2015.
F3: Each share of Issuer's Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering and has no expiration date.