0001408356-16-000171.txt : 20161123 0001408356-16-000171.hdr.sgml : 20161123 20161123162531 ACCESSION NUMBER: 0001408356-16-000171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161121 FILED AS OF DATE: 20161123 DATE AS OF CHANGE: 20161123 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SOLARCITY CORP CENTRAL INDEX KEY: 0001408356 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700] IRS NUMBER: 020781046 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3055 CLEARVIEW WAY CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 650-638-1028 MAIL ADDRESS: STREET 1: 3055 CLEARVIEW WAY CITY: SAN MATEO STATE: CA ZIP: 94402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pfund Nancy E CENTRAL INDEX KEY: 0001560234 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35758 FILM NUMBER: 162016933 MAIL ADDRESS: STREET 1: 3055 CLEARVIEW WAY CITY: SAN MATEO STATE: CA ZIP: 94402 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-11-21 1 0001408356 SOLARCITY CORP SCTY 0001560234 Pfund Nancy E C/O SOLARCITY CORPORATION 3055 CLEARVIEW WAY SAN MATEO CA 94402 1 0 0 0 Common Stock 2016-11-21 2016-11-21 4 D 0 119208 D 0 I By Trust Common Stock 0 I By Trust Common Stock 2016-11-21 2016-11-21 4 D 0 928977 D 0 I See Footnote Common Stock 2016-11-21 2016-11-21 4 D 0 449279 D 0 I See Footnote Option to Purchase Common Stock 62.51 2016-11-21 2016-11-21 4 D 0 30000 0 D Common Stock 30000 0 D Option to Purchase Common Stock 62.51 2016-11-21 2016-11-21 4 D 0 3500 0 D Common Stock 3500 0 D Option to Purchase Common Stock 62.51 2016-11-21 2016-11-21 4 D 0 3000 0 D Common Stock 3000 0 D Option to Purchase Common Stock 62.51 2016-11-21 2016-11-21 4 D 0 3000 0 D Common Stock 3000 0 D Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement. These shares are owned directly by The Pfund Polakoff Family Trust dtd 2/18/1993. These shares are owned directly by The Pfund Polakoff 2014 CRUT u/a/d 11/07/14. These shares are owned directly by DBL Equity Fund-BAEF II, L.P. These shares are owned directly by Bay Area Equity Fund I, L.P. Outstanding stock options and restricted stock unit awards ("RSUs") of the Issuer were assumed by Tesla and automatically converted into corresponding equity incentive awards on common stock of Tesla in accordance with the Merger Agreement. This Form 4 reports securities disposed pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 31, 2016, a copy of which is filed as Exhibit 2.1 to the Issuer's Form 8-K filed with the SEC on August 1, 2016, and by which the Issuer became a wholly-owned subsidiary (the "Merger") of Tesla Motors, Inc. ("Tesla"). /s/ Seth R. Weissman, Atty-in-Fact for Nancy Pfund 2016-11-23