-----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, ClewbMJHxO2Tiff1C0EpmzigR+gYGOl1+9fQNh36t0MFnddFcpqbZfjnkMw3tMPe 2GbRIKE7mjGI9VDB5mPwQQ== 0001181431-06-044494.txt : 20060731 0001181431-06-044494.hdr.sgml : 20060731 20060731201756 ACCESSION NUMBER: 0001181431-06-044494 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060728 FILED AS OF DATE: 20060731 DATE AS OF CHANGE: 20060731 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWARTZ JONATHAN I CENTRAL INDEX KEY: 0001220070 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15086 FILM NUMBER: 06992413 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 4 1 rrd124680.xml J. SCHWARTZ'S FORM 4 RE: TAX WITHHOLDING X0202 4 2006-07-28 0 0000709519 SUN MICROSYSTEMS, INC. SUNW 0001220070 SCHWARTZ JONATHAN I 4150 NETWORK CIRCLE SANTA CLARA CA 95054 1 1 0 0 President and CEO Common Stock 2006-07-28 4 F 0 68273 4.33 D 2645692 D Employee Stock Option (Right to Buy) 7.8672 1999-11-11 2006-11-11 Common Stock 40000 40000 D Employee Stock Option (Right to Buy) 14.6094 2000-06-16 2007-06-16 Common Stock 80000 80000 D Employee Stock Option 17 2000-08-11 2007-08-11 Common Stock 140000 140000 D Employee Stock Option 36.7188 2000-12-15 2007-12-15 Common Stock 120000 120000 D Employee Stock Option 40 2001-04-12 2010-04-12 Common Stock 70000 70000 D Employee Stock Option 45.0313 2001-06-13 2010-06-13 Common Stock 30000 30000 D Employee Stock Option 18.58 2002-04-18 2011-04-18 Common Stock 200000 200000 D Employee Stock Option 12.59 2002-11-07 2011-11-07 Common Stock 75000 75000 D Employee Stock Option 12.59 2002-11-07 2011-11-07 Common Stock 75000 75000 D Employee Stock Option 9.14 2003-03-19 2012-03-19 Common Stock 200 200 D Employee Stock Option 6.45 2003-05-02 2012-05-02 Common Stock 200000 200000 D Employee Stock Option 3.7 2003-07-25 2012-07-25 Common Stock 300000 300000 D Employee Stock Option 3.85 2004-07-23 2013-07-23 Common Stock 500000 500000 D Employee Stock Option 3.9 2005-04-30 2014-04-30 Common Stock 1000000 1000000 D Employee Stock Option (Right to Buy) 3.79 2005-07-29 2014-07-29 Common Stock 800000 800000 D Employee Stock Option (Right to Buy) 3.85 2006-07-28 2015-07-28 Common Stock 900000 900000 D Employee Stock Option (Right to Buy) 4.95 2007-04-27 2016-04-27 Common Stock 2000000 2000000 D Includes: (i) 1,741,000 shares of unvested restricted stock; and (ii) 6,493 shares purchased under the Sun Microsystems, Inc. 1990 Employee Stock Purchase Plan on April 28, 2006. This option was granted under the Sun Microsystems, Inc. 1990 Long-Term Equity Incentive Plan. Immediately. This option vests and becomes exercisable in five equal annual installments of 60,000 shares beginning on July 25, 2003. This option vests and becomes exercisable in five equal annual installments of 100,000 shares beginning on July 23, 2004. This option vests and becomes exercisable in five equal annual installments of 200,000 shares beginning on April 30, 2005. This option vests and becomes exercisable in five equal annual installments of 160,000 shares beginning on July 29, 2005. 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 400,000 shares beginning on April 27, 2007. /s/ Jonathan I. Schwartz 2006-07-31 -----END PRIVACY-ENHANCED MESSAGE-----