-----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, GjNPEC4+DVDgLn2OFohFS3i7U/h9uML6a9NFw7+bWgONtF10/eCyL2zcsNVRAAbF TAPkQeAk2gXrUcZqJ89lCw== 0001181431-07-049513.txt : 20070802 0001181431-07-049513.hdr.sgml : 20070802 20070802193231 ACCESSION NUMBER: 0001181431-07-049513 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070731 FILED AS OF DATE: 20070802 DATE AS OF CHANGE: 20070802 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: YEN DAVID W CENTRAL INDEX KEY: 0001220076 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15086 FILM NUMBER: 071021914 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 rrd165443.xml D. YEN'S FORM 4 RE: 7/31/07 VESTING, TAX WITHHOLDING & OPTION GRANT X0202 4 2007-07-31 0 0000709519 SUN MICROSYSTEMS, INC. SUNW 0001220076 YEN DAVID W 4150 NETWORK CIRCLE SANTA CLARA CA 95054 0 1 0 0 EVP, Microelectronics Common Stock 2007-07-31 4 M 0 37500 5.1 A 354970 D Common Stock 2007-07-31 4 F 0 17123 5.1 D 337847 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 2012-07-25 Common Stock 300000 60000 D Employee Stock Option (Right to Buy) 3.85 2013-07-23 Common Stock 500000 200000 D Employee Stock Option (Right to Buy) 3.79 2012-07-29 Common Stock 400000 240000 D Employee Stock Option (Right to Buy) 4.12 2013-01-27 Common Stock 200000 120000 D Employee Stock Option (Right to Buy) 3.85 2013-07-28 Common Stock 300000 240000 D Employee Stock Option (Right to Buy) 4.26 2014-07-27 Common Stock 500000 500000 D Employee Stock Option (Right to Buy) 5.1 2007-07-31 4 A 0 425000 0 A 2017-07-31 Common Stock 425000 425000 D This includes 36,500 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. This option vests and becomes exercisable in five equal annual installments of 85,000 shares beginning on July 31, 2008. Represents performance-based restricted stock units that have vested and are paid out in shares of common stock. Represents the surrender of shares to the issuer upon vesting of performance-based restricted stock units to satisfy tax withholding obligations. /s/ David W. Yen 2007-08-01 -----END PRIVACY-ENHANCED MESSAGE-----