-----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, GrDHKsMc6gQGI1sU08HUTVEaOuT0xEhBtb4Nu2w7IAf6NDNvAgQXtxeF7BaZAqxB FrRwC+dQDG0VYTB32ni9cw== 0001181431-07-011071.txt : 20070213 0001181431-07-011071.hdr.sgml : 20070213 20070213170118 ACCESSION NUMBER: 0001181431-07-011071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070212 FILED AS OF DATE: 20070213 DATE AS OF CHANGE: 20070213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: YEN DAVID W CENTRAL INDEX KEY: 0001220076 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15086 FILM NUMBER: 07611270 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 rrd146710.xml D. YEN'S FORM 4 RE: 2/12/07 SALE X0202 4 2007-02-12 0 0000709519 SUN MICROSYSTEMS, INC. SUNW 0001220076 YEN DAVID W 4150 NETWORK CIRCLE SANTA CLARA CA 95054 0 1 0 0 EVP, Storage Group Common Stock 2007-02-12 4 M 0 240000 3.7 A 561237 D Common Stock 2007-02-12 4 M 0 300000 3.85 A 861237 D Common Stock 2007-02-12 4 M 0 160000 3.79 A 1021237 D Common Stock 2007-02-12 4 M 0 80000 4.12 A 1101237 D Common Stock 2007-02-12 4 M 0 60000 3.85 A 1161237 D Common Stock 2007-02-12 4 S 0 840000 6.45 D 321237 D Employee Stock Option (Right to Buy) 14.6094 2007-06-16 Common Stock 32000 32000 D Employee Stock Option (Right to Buy) 36.7188 2007-12-15 Common Stock 100000 100000 D Employee Stock Option (Right to Buy) 40 2008-04-12 Common Stock 26000 26000 D Employee Stock Option (Right to Buy) 57.6875 2008-08-16 Common Stock 30000 30000 D Employee Stock Option (Right to Buy) 31.75 2008-12-13 Common Stock 250000 250000 D Employee Stock Option (Right to Buy) 16.25 2009-06-13 Common Stock 20000 20000 D Employee Stock Option (Right to Buy) 16.25 2009-06-13 Common Stock 250000 250000 D Employee Stock Option (Right to Buy) 7.91 2009-09-27 Common Stock 20000 20000 D Employee Stock Option (Right to Buy) 12.59 2009-11-07 Common Stock 50000 50000 D Employee Stock Option (Right to Buy) 12.59 2009-11-07 Common Stock 50000 50000 D Employee Stock Option (Right to Buy) 9.14 2010-03-19 Common Stock 200 200 D Employee Stock Option (Right to Buy) 9.14 2010-03-19 Common Stock 20000 20000 D Employee Stock Option (Right to Buy) 6.45 2012-05-02 Common Stock 200000 200000 D Employee Stock Option (Right to Buy) 3.7 2007-02-12 4 M 0 240000 0 D 2012-07-25 Common Stock 300000 60000 D Employee Stock Option (Right to Buy) 3.85 2007-02-12 4 M 0 300000 0 D 2013-07-23 Common Stock 500000 200000 D Employee Stock Option (Right to Buy) 3.79 2007-02-12 4 M 0 160000 0 D 2012-07-29 Common Stock 400000 240000 D Employee Stock Option (Right to Buy) 4.12 2007-02-12 4 M 0 80000 0 D 2013-01-27 Common Stock 200000 120000 D Employee Stock Option (Right to Buy) 3.85 2007-02-12 4 M 0 60000 0 D 2013-07-28 Common Stock 300000 240000 D Employee Stock Option (Right to Buy) 4.26 2014-07-27 Common Stock 500000 500000 D This includes 44,750 shares of unvested restricted stock. 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 80,000 shares beginning on July 29, 2005. This option vests and becomes exercisable in five equal annual installments of 40,000 shares beginning on January 27, 2006. This option vests and becomes exercisable in five equal annual installments of 60,000 shares beginning on July 28, 2006. This option vests and becomes exercisable in five equal annual installments of 100,000 shares beginning on July 27, 2007. David W. Yen 2007-02-12 -----END PRIVACY-ENHANCED MESSAGE-----