0001209191-18-016824.txt : 20180305 0001209191-18-016824.hdr.sgml : 20180305 20180305180817 ACCESSION NUMBER: 0001209191-18-016824 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180301 FILED AS OF DATE: 20180305 DATE AS OF CHANGE: 20180305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAHAFFEY KENNETH LAWRENCE CENTRAL INDEX KEY: 0001689047 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34166 FILM NUMBER: 18667896 MAIL ADDRESS: STREET 1: C/O SUNPOWER CORPORATION STREET 2: 77 RIO ROBLES CITY: SAN JOSE STATE: CA ZIP: 95134 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SUNPOWER CORP CENTRAL INDEX KEY: 0000867773 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943008969 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 77 RIO ROBLES CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 408-240-5500 MAIL ADDRESS: STREET 1: 77 RIO ROBLES CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-03-01 0 0000867773 SUNPOWER CORP SPWR 0001689047 MAHAFFEY KENNETH LAWRENCE 77 RIO ROBLES SAN JOSE CA 95134 0 1 0 0 EVP & General Counsel Common Stock 2018-03-01 4 M 0 2927 0.00 A 87904 D Common Stock 2018-03-01 4 M 0 834 0.00 A 88738 D Common Stock 2018-03-01 4 M 0 2125 0.00 A 90863 D Common Stock 2018-03-01 4 M 0 600 0.00 A 91463 D Common Stock 2018-03-01 4 M 0 10000 0.00 A 101463 D Common Stock 2018-03-01 4 F 0 1013 7.06 D 100450 D Common Stock 2018-03-01 4 F 0 289 7.06 D 100161 D Common Stock 2018-03-01 4 F 0 735 7.06 D 99426 D Common Stock 2018-03-01 4 F 0 208 7.06 D 99218 D Common Stock 2018-03-01 4 F 0 3458 7.06 D 95760 D Restricted Stock Units (RSUs) 2018-03-01 4 M 0 2927 0.00 D Common Stock 2927 0 D Restricted Stock Units (RSUs) 2018-03-01 4 M 0 834 0.00 D Common Stock 834 0 D Restricted Stock Units (RSUs) 2018-03-01 4 M 0 2125 0.00 D Common Stock 2125 4250 D Restricted Stock Units (RSUs) 2018-03-01 4 M 0 600 0.00 D Common Stock 600 1200 D Performance-Based Restricted Stock Units (PSUs) 2018-03-01 4 M 0 10000 0.00 D Common Stock 10000 30000 D Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted stock shares. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. The last vesting date for these RSUs was on March 1, 2018. The remaining RSUs shall vest on each of March 1, 2019 and March 1, 2020. Each PSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. On March 10, 2017, Reporting Person was awarded a number of PSUs within a preset range, with the actual number contingent upon the achievement of certain criteria. The Compensation Committee of the Issuer's Board of Directors confirmed the achievement of the performance criteria on February 16, 2018 and, based on that assessment, determined the number of PSUs. The remaining PSUs will vest on each of March 1, 2019, March 1, 2020 and March 1, 2021. Lauren Walz, as attorney-in-fact for Kenneth L Mahaffey 2018-03-05