-----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, MRZJmUheFp7YRSnazavV7SZA1ryjR13FUexgIk2/e5SsMPQ6WgfAYVACOkMWAn0M +Nq40nBQstxY2ceeZWZVDw== 0001181431-07-069215.txt : 20071114 0001181431-07-069215.hdr.sgml : 20071114 20071114190554 ACCESSION NUMBER: 0001181431-07-069215 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: MCNEALY SCOTT G CENTRAL INDEX KEY: 0001220062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15086 FILM NUMBER: 071247242 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 rrd177121.xml MCNEALY'S FORM 4 RE: STOCK SPLIT X0202 4 2007-11-12 0 0000709519 SUN MICROSYSTEMS, INC. JAVA 0001220062 MCNEALY SCOTT G 4150 NETWORK CIRCLE SANTA CLARA CA 95054 1 0 0 0 Common Stock 2007-11-12 4 S 0 .5 10.35 D 43299 D Common Stock 73270 I Shares held by trust. Common Stock 13984120 I Shares held by trust. Common Stock 100700 I Shares held by trust. Common Stock 2007-11-12 4 S 0 .75 15.53 D 1887 I See footnote. Common Stock 2007-11-12 4 S 0 .75 15.53 D 1887 I See footnote. Common Stock 2007-11-12 4 S 0 .75 15.53 D 1887 I See footnote. Common Stock 2007-11-12 4 S 0 .75 15.53 D 1887 I See footnote. 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 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. The remainder of this option vests in one annual installment of 75,000 shares on the fifth anniversary of the date of grant. The remainder of this option vests in two equal annual installments of 62,500 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 45,000 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 105,000 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 100,000 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/ Scott G. McNealy 2007-11-13 -----END PRIVACY-ENHANCED MESSAGE-----