-----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, Apj/S3ola7J/02RU6g0UsTrdrYbKlFP95T8sgNZmiVb1pe7VPqyomHoY34Bt35Ee Y7AviNXGax4d6PqIBPJ7cw== 0001181431-06-061602.txt : 20061103 0001181431-06-061602.hdr.sgml : 20061103 20061103120927 ACCESSION NUMBER: 0001181431-06-061602 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061102 FILED AS OF DATE: 20061103 DATE AS OF CHANGE: 20061103 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: BARKSDALE JAMES L CENTRAL INDEX KEY: 0001008699 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15086 FILM NUMBER: 061185483 BUSINESS ADDRESS: STREET 1: 501 EAST MIDDLEFIELD RD STREET 2: NETSCAPE COMMUNICATIONS CORP CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 4152541900 MAIL ADDRESS: STREET 1: 501 EAST MIDDLEFIELD RD STREET 2: NETSCAPE COMMUNICATIONS CORP CITY: MOUNTIAN VIEW STATE: CA ZIP: 94043 4 1 rrd133504.xml BARKSDALE'S FORM 4 RE: ANNUAL DIRECTOR GRANT X0202 4 2006-11-02 0 0000709519 SUN MICROSYSTEMS, INC. SUNW 0001008699 BARKSDALE JAMES L 4150 NETWORK CIRCLE SANTA CLARA CA 95054 1 0 0 0 Common Stock 918000 D Common Stock 6400 I See footnote Director Stock Option (Right to Buy) 12.59 2006-11-07 Common Stock 10000 10000 D Director Stock Option (Right to Buy) 3.4 2007-11-07 Common Stock 10000 10000 D Director Stock Option (Right to Buy) 4.2080 2008-11-13 Common Stock 10000 10000 D Director Stock Option (Right to Buy) 4.6 2009-11-10 Common Stock 10000 10000 D Director Stock Option (Right to Buy) 3.9 2010-10-27 Common Stock 10000 10000 D Director Stock Option (Right to Buy) 5.33 2006-11-02 4 A 0 10000 5.33 A 2011-11-02 Common Stock 10000 10000 D Includes: (i) 2,400 shares held by a charitable remainder trust for which Mr. Barksdale serves as trustee; and (ii) 4,000 shares held by a limited partnership for which Mr. Barksdale serves as a general partner. Mr. Barksdale disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. This option was granted under Sun Microsystems, Inc. 1988 Directors' Stock Option Plan. This option originally vested in four equal annual installments of 2,500 shares beginning on November 7, 2002 or the date of Sun's 2002 Annual Meeting of Stockholders, whichever was earlier. Effective May 30, 2005, Sun accelerated the vesting schedules for all stock options outstanding as of that date with exercise prices of $6.00 or more, including this option. This option vests in four equal annual installments of 2,500 shares beginning on November 7, 2003 or the date of Sun's 2003 Annual Meeting of Stockholders, whichever is earlier. This option vests in four equal annual installments of 2,500 shares beginning on November 13, 2004 or the date of Sun's 2004 Annual Meeting of Stockholders, whichever is earlier. This option vests in four equal annual installments of 2,500 shares beginning on November 10, 2005 or the date of Sun's 2005 Annual Meeting of Stockholders, whichever is earlier. This option vests in four equal annual installments of 2,500 shares beginning on October 27, 2006 or the date of Sun's 2006 Annual Meeting of Stockholders, whichever is earlier. This option vests in four equal annual installments of 2,000 shares beginning on November 2, 2007 or the date of Sun's 2007 Annual Meeting of Stockholders, whichever is earlier. /s/ James L. Barksdale 2006-11-02 -----END PRIVACY-ENHANCED MESSAGE-----