-----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, EIVDkWFIk1SLjf1JV3yN0q3/YCIbM2bb9ahSDS4pc+nq7JVRKW9PH2vBSK5a9giI XVdworSHA3IfbKUiaJyDHw== 0001181431-07-069217.txt : 20071114 0001181431-07-069217.hdr.sgml : 20071114 20071114190637 ACCESSION NUMBER: 0001181431-07-069217 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071112 FILED AS OF DATE: 20071114 DATE AS OF CHANGE: 20071114 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: 071247247 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 rrd177164.xml YEN'S FORM 4 RE: STOCK SPLIT X0202 4 2007-11-12 0 0000709519 SUN MICROSYSTEMS, INC. JAVA 0001220076 YEN DAVID W 4150 NETWORK CIRCLE SANTA CLARA CA 95054 0 1 0 0 EVP, Microelectronics Common Stock 2007-11-12 4 S 0 .75 15.53 D 84461 D Employee Stock Option (Right to Buy) 146.8752 2007-12-15 Common Stock 25000 25000 D Employee Stock Option (Right to Buy) 160 2008-04-12 Common Stock 6500 6500 D Employee Stock Option (Right to Buy) 230.75 2008-08-16 Common Stock 7500 7500 D Employee Stock Option (Right to Buy) 127 2008-12-13 Common Stock 62500 62500 D Employee Stock Option (Right to Buy) 65 2009-06-13 Common Stock 5000 5000 D Employee Stock Option (Right to Buy) 65 2009-06-13 Common Stock 62500 62500 D Employee Stock Option (Right to Buy) 31.64 2009-09-27 Common Stock 5000 5000 D Employee Stock Option (Right to Buy) 50.36 2009-11-07 Common Stock 12500 12500 D Employee Stock Option (Right to Buy) 50.36 2009-11-07 Common Stock 12500 12500 D Employee Stock Option (Right to Buy) 36.56 2010-03-19 Common Stock 50 50 D Employee Stock Option (Right to Buy) 36.56 2010-03-19 Common Stock 5000 5000 D Employee Stock Option (Right to Buy) 25.8 2012-05-02 Common Stock 50000 50000 D Employee Stock Option (Right to Buy) 14.8 2012-07-25 Common Stock 75000 15000 D Employee Stock Option (Right to Buy) 15.4 2013-07-23 Common Stock 125000 50000 D Employee Stock Option (Right to Buy) 15.16 2012-07-29 Common Stock 100000 60000 D Employee Stock Option (Right to Buy) 16.48 2013-01-27 Common Stock 50000 30000 D Employee Stock Option (Right to Buy) 15.4 2013-07-28 Common Stock 75000 60000 D Employee Stock Option (Right to Buy) 17.04 2014-07-27 Common Stock 125000 125000 D Employee Stock Option (Right to Buy) 20.4 2017-07-31 Common Stock 106250 106250 D This includes 9,125 shares of unvested restricted stock. This option was granted under the Sun Microsystems, Inc. 1990 Long-Term Equity Incentive Plan. Immediately. The remainder of this option vests in one annual installment of 25,000 shares on the fifth anniversary of the date of grant. The remainder of this option vests in two equal annual installments of 20,000 shares on each of the fourth and fifth anniversaries of the date of grant. The remainder of this option vests in three equal annual installments of 10,000 shares on each of the third, fourth and fifth anniversaries of the date of grant. The remainder of this option vests in three equal annual installments of 15,000 shares on each of the third, fourth and fifth anniversaries of the date of grant. The remainder of this option vests in four equal annual installments of 25,000 shares on each of the second, third, fourth and fifth anniversaries of the date of grant. This option vests and becomes exercisable in five equal annual installments of 21,250 shares beginning on July 31, 2008. This transaction represents the purchase by Sun Microsystems, Inc. of a fractional share of Common Stock resulting from the company's one-for-four reverse stock split effective November 12, 2007 at a purchase price of $20.71 per share, which was the average closing price as reported on NASDAQ for the four trading days preceding the effective date. /s/ David W. Yen 2007-11-13 -----END PRIVACY-ENHANCED MESSAGE-----