- Initial Statement of Beneficial Ownership (3)
17 Diciembre 2009 - 6:13PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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February 28, 2011
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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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1. Name and Address of Reporting Person
*
Randazzo Margaret R
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/14/2009
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3. Issuer Name
and
Ticker or Trading Symbol
Akeena Solar, Inc. [AKNS]
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(Last)
(First)
(Middle)
16005 LOS GATOS BLVD.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer /
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(Street)
LOS GATOS, CA 95032
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, $0.001 par value
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10000
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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2/1/2010
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1/31/2014
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Common Stock
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50000
(2)
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$1.85
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D
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Stock Option (Right to Buy)
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12/4/2010
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12/3/2014
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Common Stock
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75000
(2)
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$1
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D
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Explanation of Responses:
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(
1)
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These shares of common stock were granted pursuant to the Akeena Solar, Inc. 2006 Stock Incentive Plan (the "Plan") on February 1, 2009. These shares are scheduled to vest in equal annual installments over a four year period from the date of grant. Ms. Randazzo is entitled to vote such restricted shares, subject to forfeiture in accordance with the terms of the grant.
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(
2)
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Consists of non-qualified stock options granted pursuant to the Plan, which shall vest in equal annual installments over a period of three years, subject to forfeiture in accordance with the terms of the grant.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Randazzo Margaret R
16005 LOS GATOS BLVD.
LOS GATOS, CA 95032
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Chief Financial Officer
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Signatures
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/s/ Margaret R. Randazzo
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12/17/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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