-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AdndkEV0Xj6HCY9B2AtnqutV034O9wj7o/fvx+Iynfeni/GW/msDDb5zdShg3yJQ OXw9A8VLGzIjowU+jm/GZQ== 0001181431-06-026535.txt : 20060501 0001181431-06-026535.hdr.sgml : 20060501 20060501213136 ACCESSION NUMBER: 0001181431-06-026535 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060427 FILED AS OF DATE: 20060501 DATE AS OF CHANGE: 20060501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCNEALY SCOTT G CENTRAL INDEX KEY: 0001220062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15086 FILM NUMBER: 06797055 BUSINESS ADDRESS: STREET 1: C/O SUN MICROSYSTEMS INC STREET 2: 4120 NETWORK CIRCLE M/S SCA12-202 CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 6509601300 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SUN MICROSYSTEMS, INC. CENTRAL INDEX KEY: 0000709519 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 942805249 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 4150 NETWORK CIRCLE CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 6509601300 MAIL ADDRESS: STREET 1: 4150 NETWORK CIRCLE CITY: SANTA CLARA STATE: CA ZIP: 95054 FORMER COMPANY: FORMER CONFORMED NAME: SUN MICROSYSTEMS INC DATE OF NAME CHANGE: 19920703 4 1 rrd115443.xml S. MCNEALY'S FORM 4 X0202 4 2006-04-27 0 0000709519 SUN MICROSYSTEMS, INC. SUNW 0001220062 MCNEALY SCOTT G 4150 NETWORK CIRCLE SANTA CLARA CA 95054 1 1 0 0 Chairman and CEO Common Stock 1377198 D Common Stock 293080 I By trust Common Stock 55936480 I By trust Common Stock 402800 I By trust Common Stock 5551 I see footnote Common Stock 5551 I see footnote Common Stock 5551 I see footnote Common Stock 5551 I see footnote Employee Stock Option (Right to Buy) 4.2422 2007-06-11 Common Stock 2400000 2400000 D Employee Stock Option (Right to Buy) 5.4532 2008-06-17 Common Stock 3200000 3200000 D Employee Stock Option (Right to Buy) 12.5313 2009-04-20 Common Stock 400000 400000 D Employee Stock Option (Right to Buy) 40 2010-04-12 Common Stock 1000000 1000000 D Employee Stock Option (Right to Buy) 18.58 2011-04-18 Common Stock 1500000 1500000 D Employee Stock Option (Right to Buy) 12.59 2011-11-07 Common Stock 1250000 1250000 D Employee Stock Option (Right to Buy) 12.59 2011-11-07 Common Stock 1250000 1250000 D Employee Stock Option (Right to Buy) 9.14 2012-03-19 Common Stock 200 200 D Employee Stock Option (Right to Buy) 6.45 2012-05-02 Common Stock 200000 200000 D Employee Stock Option (Right to Buy) 7.07 2012-05-14 Common Stock 800000 800000 D Employee Stock Option (Right to Buy) 3.7 2012-07-25 Common Stock 1000000 1000000 D Employee Stock Option (Right to Buy) 3.85 2013-07-23 Common Stock 1500000 1500000 D Employee Stock Option (Right to Buy) 3.79 2014-07-29 Common Stock 1250000 1250000 D Employee Stock Option (Right to Buy) 3.85 2015-07-28 Common Stock 900000 900000 D Employee Stock Option (Right to Buy) 4.95 2006-04-27 4 A 0 2100000 0 A 2016-04-27 Common Stock 2100000 2100000 D Includes: (i) 1,354,000 shares of restricted stock, which are held in an escrow account with respect to which Mr. McNealy has no voting power and which provides for the immediate sale of the shares upon vesting, subject to Sun's policies and applicable securities laws; and (ii) 6,493 shares purchased under the Sun Microsystems, Inc. 1990 Employee Stock Purchase Plan on April 28, 2006. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for the purposes of Section 16 or any other purpose. Gift from reporting person's mother. These shares are held in a California Uniform Transfer to Minors Act account for the benefit of the reporting person's child. The reporting person's spouse is custodian of the account. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for the purposes of Section 16 or any other purpose. This option was granted under the Sun Microsystems, Inc. 1990 Long-Term Equity Incentive Plan. Immediately. A total of 600,000 shares are fully vested and exercisable with the remaining 400,000 shares becoming exercisable as follows: (i) 200,000 shares on July 25, 2006; and (ii) 200,000 shares on July 25, 2007. A total of 600,000 shares are fully vested and exercisable with the remaining 900,000 shares becoming exercisable as follows: (i) 300,000 shares on July 23, 2006; (ii) 300,000 shares on July 23, 2007; and (iii) 300,000 shares on July 23, 2008. A total of 250,000 shares are fully vested and exercisable with the remaining 1,000,000 shares becoming exercisable as follows: (i) 250,000 shares on July 29, 2006; (ii) 250,000 shares on July 29, 2007; (iii) 250,000 shares on July 29, 2008; and (iv) 250,000 shares on July 29, 2009. This option vests and becomes exercisable in five equal annual installments of 180,000 shares beginning on July 28, 2006. This option vests and becomes exercisable in five equal annual installments of 420,000 shares beginning on April 27, 2007. /s/ Brian M. Martin, Attorney-in-Fact 2006-05-01 -----END PRIVACY-ENHANCED MESSAGE-----