-----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, CSCc1MpquZhlILx1+LVUJINtDeNf43MX3CLBpVvZv3zoFPZ6/y+YTKBgEkovd9Sk gawsD54i0p1/9sag8Sy1Fw== 0001181431-08-027591.txt : 20080430 0001181431-08-027591.hdr.sgml : 20080430 20080430165813 ACCESSION NUMBER: 0001181431-08-027591 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071224 FILED AS OF DATE: 20080430 DATE AS OF CHANGE: 20080430 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: 08790551 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 rrd198460.xml MCNEALY'S FORM 4 RE: 12/24/07 GIFTS & 4/28/08 VESTING X0202 4 2007-12-24 0 0000709519 SUN MICROSYSTEMS, INC. JAVA 0001220062 MCNEALY SCOTT G 4150 NETWORK CIRCLE SANTA CLARA CA 95054 1 0 0 0 Common Stock 73270 I Shares held by trust. Common Stock 13962816 I Shares held by trust. Common Stock 100700 I Shares held by trust. Common Stock 1887 I See footnote. Common Stock 1887 I See footnote. Common Stock 1887 I See footnote. Common Stock 1887 I See footnote. Common Stock 2007-12-24 5 G 0 525 0 A 525 I See footnotes. Common Stock 2007-12-24 5 G 0 525 0 A 525 I See footnotes. Common Stock 2007-12-24 5 G 0 525 0 A 525 I See footnotes. Common Stock 2007-12-24 5 G 0 525 0 A 525 I See footnotes. Common Stock 2008-04-28 4 M 0 21875 15.52 A 66351 D Common Stock 2008-04-28 4 S 0 300 15.48 D 66051 D Common Stock 2008-04-28 4 S 0 100 15.49 D 65951 D Common Stock 2008-04-28 4 S 0 13975 15.5 D 51976 D Common Stock 2008-04-28 4 S 0 5100 15.51 D 46876 D Common Stock 2008-04-28 4 S 0 1900 15.52 D 44976 D Common Stock 2008-04-28 4 S 0 500 15.53 D 44476 D Employee Stock Option (Right to Buy) 21.8128 2008-06-17 Common Stock 800000 800000 D Employee Stock Option (Right to Buy) 50.1252 2009-04-20 Common Stock 100000 100000 D Employee Stock Option (Right to Buy) 160 2010-04-12 Common Stock 250000 250000 D Employee Stock Option (Right to Buy) 74.32 2011-04-18 Common Stock 375000 375000 D Employee Stock Option (Right to Buy) 50.36 2011-11-07 Common Stock 312500 312500 D Employee Stock Option (Right to Buy) 50.36 2011-11-07 Common Stock 312500 312500 D Employee Stock Option (Right to Buy) 36.56 2012-03-19 Common Stock 50 50 D Employee Stock Option (Right to Buy) 25.8 2012-05-02 Common Stock 50000 50000 D Employee Stock Option (Right to Buy) 28.28 2012-05-14 Common Stock 200000 200000 D Employee Stock Option (Right to Buy) 14.8 2012-07-25 Common Stock 250000 250000 D Employee Stock Option (Right to Buy) 15.4 2013-07-23 Common Stock 375000 375000 D Employee Stock Option (Right to Buy) 15.16 2014-07-29 Common Stock 312500 312500 D Employee Stock Option (Right to Buy) 15.4 2015-07-28 Common Stock 225000 225000 D Employee Stock Option (Right to Buy) 19.8 2016-04-27 Common Stock 525000 525000 D Employee Stock Option (Right to Buy) 20.4 2017-07-31 Common Stock 500000 500000 D This amount was understated by 1,177 shares in the Form 4 filed on November 14, 2007, which includes shares acquired under Sun Microsystems, Inc.'s Employee Stock Purchase Plan. This amount has been corrected in this filing. This includes 12,500 shares of unvested restricted stock and 25,000 shares of unvested restricted stock units. 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. 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 on July 23, 2004. This option vests and becomes exercisable in five equal annual installments on July 29, 2005. This option vests and becomes exercisable in five equal annual installments on July 28, 2006. This option vests and becomes exercisable in five equal annual installments on April 27, 2007. This option vests and becomes exercisable in five equal annual installments on July 31, 2008. This is a gift from the reporting person's mother. These shares are held in a trust for the benefit of the reporting person's child. The reporting person and the reporting person's spouse are co-trustees of the trust. 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 represents performance-based restricted stock units that have vested and are paid out in shares of common stock. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 7, 2006. /s/ Scott G. McNealy 2008-04-29 -----END PRIVACY-ENHANCED MESSAGE-----