-----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, Sj3/O+bUMmbszd4/De7De/hMptT2Y8w3VTDy5YqZd4Z+p9av9wf2AnYxU1UGXEKV M7xCwxndVAVftWfphpAySw== 0001181431-09-037272.txt : 20090803 0001181431-09-037272.hdr.sgml : 20090801 20090803134251 ACCESSION NUMBER: 0001181431-09-037272 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090730 FILED AS OF DATE: 20090803 DATE AS OF CHANGE: 20090803 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: 09979681 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 rrd249395.xml MCNEALY'S FORM 4 RE: 07/30/09 ACTIVITY X0303 4 2009-07-30 0 0000709519 SUN MICROSYSTEMS, INC. JAVA 0001220062 MCNEALY SCOTT G 4150 NETWORK CIRCLE SANTA CLARA CA 95054 1 0 0 0 Common Stock 2009-07-30 4 S 0 65950 9.2066 D 244247 D Common Stock 73270 I Shares held by trust. Common Stock 11262816 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 525 I See footnote. Common Stock 525 I See footnote. Common Stock 525 I See footnote. Common Stock 525 I See footnote. Common Stock 1350000 I Shares held by GRAT. Common Stock 1350000 I Shares held by GRAT 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 These shares are held in a grantor retained annuity trust. The reporting person's spouse is the trustee of this 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. 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 vests and becomes exercisable in five equal annual installments beginning on the first anniversary of the date of grant. 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. These shares are held in a grantor retained annuity trust. The reporting person is the trustee of this 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. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 7, 2006. The sales prices for these transactions ranged from $9.17 to $9.25. The issuer will provide full information regarding the number of shares sold at each separate price upon request by the Commission staff. This includes 211,475 shares of unvested restricted stock units. /s/ Scott G. McNealy 2009-07-30 -----END PRIVACY-ENHANCED MESSAGE-----