FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SUN MICROSYSTEMS INC [ SUNW ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/31/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 90,881(1) | D(2) | ||||||||
Common Stock | 3,000 | I | By Trust for Iain C. Beveridge | |||||||
Common Stock | 3,000 | I | By Trust for Moira C. Beveridge |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock | $40 | (3) | 04/12/2010 | Common Stock | 700,000 | 700,000 | D | ||||||||
Common Stock | $18.58 | (4) | 04/18/2011 | Common Stock | 400,000 | 400,000 | D | ||||||||
Common Stock | $18.58 | (5) | 04/18/2011 | Common Stock | 350,000 | 350,000 | D | ||||||||
Common Stock | $12.59 | (6) | 11/07/2011 | Common Stock | 300,000 | 300,000 | D | ||||||||
Common Stock | $9.14 | (7) | 03/19/2012 | Common Stock | 200 | 200 | D | ||||||||
Common Stock | $6.45 | (8) | 05/02/2012 | Common Stock | 200,000 | 200,000 | D | ||||||||
Common Stock | $3.7 | (9) | 07/25/2012 | Common Stock | 300,000 | 300,000 | D | ||||||||
Common Stock | $3.85 | (10) | 07/23/2013 | Common Stock | 500,000 | 500,000 | D | ||||||||
Common Stock | $3.79 | (11) | 07/29/2014 | Common Stock | 400,000 | 400,000 | D |
Explanation of Responses: |
1. Reflects 6,017 Shares purchased under the Sun Microsystems, Inc. Employee Stock Purchase Plan on October 31, 2003 and April 30, 2004, respectively. |
2. Shares are held jointly between the reporting person and his wife. |
3. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Option shall vest at a rate of 233,333 shares on April 12, 2003, 233,333 shares on April 12, 2004 and 23,334 shares on April 12, 2005. |
4. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in five equal annual installments of 80,000 shares beginning April 18, 2002. |
5. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in five equal annual installments of 70,000 shares beginning April 18, 2002. |
6. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in four equal annual installments of 75,000 shares beginning November 7, 2002. |
7. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in five equal annual installments of 40 shares beginning February 25, 2003. |
8. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in five equal annual installments of 40,000 shares beginning May 2, 2003. |
9. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in five equal annual installments of 60,000 shares beginning July 25, 2003. |
10. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in five equal annual installments of 100,000 shares beginning July 23, 2004. |
11. The option was granted under Sun Microsystems, Inc. 1990 Long Term Equity Incentive Plan. Shares vest and become exercisable in five equal annual installments of 80,000 shares beginning July 29, 2005. |
/s/ Crawford W. Beveridge | 09/22/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |