-----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, KiOJ/cNrW+u18XWTUdDdLxjr3dW06NNfeNPOPOvkHcrksEl9ai+HLaXKcfNtqkhj k3v1DQ197YuhhBvUw6VpYw== 0001181431-07-049025.txt : 20070801 0001181431-07-049025.hdr.sgml : 20070801 20070801205006 ACCESSION NUMBER: 0001181431-07-049025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070730 FILED AS OF DATE: 20070801 DATE AS OF CHANGE: 20070801 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: MCNEALY SCOTT G CENTRAL INDEX KEY: 0001220062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15086 FILM NUMBER: 071017802 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 rrd167329.xml S. MCNEALY'S FORM 4 RE: 7/30/07 VESTING & SALE X0202 4 2007-07-30 0 0000709519 SUN MICROSYSTEMS, INC. SUNW 0001220062 MCNEALY SCOTT G 4150 NETWORK CIRCLE SANTA CLARA CA 95054 1 0 0 0 Common Stock 2007-07-30 4 S 0 2581 4.95 D 747617 D Common Stock 2007-07-30 4 S 0 1000 4.965 D 746617 D Common Stock 2007-07-30 4 S 0 21419 4.97 D 725198 D Common Stock 293080 I Shares held by trust. Common Stock 55936480 I Shares held by trust. Common Stock 402800 I Shares held by trust. Common Stock 7551 I See footnotes. Common Stock 7551 I See footnotes. Common Stock 7551 I See footnotes. Common Stock 7551 I See footnotes. 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 2016-04-27 Common Stock 2100000 2100000 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 20, 2006. This includes 50,000 shares of unvested restricted stock. 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. This option vests and becomes exercisable in five equal annual installments of 200,000 shares beginning on July 25, 2003. This option vests and becomes exercisable in five equal annual installments of 300,000 shares beginning on July 23, 2004. This option vests and becomes exercisable in five equal annual installments of 250,000 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 420,000 shares beginning on April 27, 2007. /s/ Scott G. McNealy 2007-07-30 -----END PRIVACY-ENHANCED MESSAGE-----