0001209191-19-016461.txt : 20190305 0001209191-19-016461.hdr.sgml : 20190305 20190305162037 ACCESSION NUMBER: 0001209191-19-016461 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190301 FILED AS OF DATE: 20190305 DATE AS OF CHANGE: 20190305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WERNER THOMAS H CENTRAL INDEX KEY: 0001247756 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34166 FILM NUMBER: 19658640 MAIL ADDRESS: STREET 1: 3939 NORTH FIRST STREET 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 2019-03-01 0 0000867773 SUNPOWER CORP SPWR 0001247756 WERNER THOMAS H 77 RIO ROBLES SAN JOSE CA 95134 1 1 0 0 Pres and CEO Common Stock 2019-03-01 4 M 0 5137 0.00 A 526507 D Common Stock 2019-03-01 4 M 0 17900 0.00 A 544407 D Common Stock 2019-03-01 4 M 0 37500 0.00 A 581907 D Common Stock 2019-03-01 4 M 0 37500 0.00 A 619407 D Common Stock 2019-03-01 4 M 0 32305 0.00 A 651712 D Common Stock 2019-03-01 4 M 0 30000 0.00 A 681712 D Common Stock 2019-03-01 4 F 0 2547 6.47 D 679165 D Common Stock 2019-03-01 4 F 0 8875 6.47 D 670290 D Common Stock 2019-03-01 4 F 0 18593 6.47 D 651697 D Common Stock 2019-03-01 4 F 0 18593 6.47 D 633104 D Common Stock 2019-03-01 4 F 0 16017 6.47 D 617087 D Common Stock 2019-03-01 4 F 0 14874 6.47 D 602213 D Common Stock 1218 I Held in Trust - The Werner Family Trust Performance-Based Restricted Stock Units (PSUs) 2019-03-01 4 M 0 5137 0.00 D Common Stock 5137 5138 D Restricted Stock Units (RSUs) 2019-03-01 4 M 0 17900 0.00 D Common Stock 17900 17900 D Performance-Based Restricted Stock Units (PSUs) 2019-03-01 4 M 0 37500 0.00 D Common Stock 37500 75000 D Restricted Stock Units (RSUs) 2019-03-01 4 M 0 37500 0.00 D Common Stock 37500 75000 D Performance-Based Restricted Stock Units (PSUs) 2019-03-01 4 M 0 32305 0.00 D Common Stock 32305 32305 D Performance-Based Restricted Stock Units (PSUs) 2019-03-01 4 M 0 30000 0.00 D Common Stock 30000 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 PSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. On March 31, 2016, 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 March 1, 2017 and, based on that assessment, determined the number of PSUs. The remaining portion of these PSUs will vest on March 1, 2020. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. The remaining RSUs shall vest on March 1, 2020. 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 vest on each of March 1, 2020 and March 1, 2021. The remaining RSUs shall vest on each of March 1, 2020 and March 1, 2021. On April 12, 2018, 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 12, 2019 and, based on that assessment, determined the number of PSUs. The remaining PSUs vest on March 1, 2020. Lauren Walz, as attorney-in-fact for Thomas H Werner 2019-03-05