0001209191-19-016425.txt : 20190305 0001209191-19-016425.hdr.sgml : 20190305 20190305161222 ACCESSION NUMBER: 0001209191-19-016425 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: MAHAFFEY KENNETH LAWRENCE CENTRAL INDEX KEY: 0001689047 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34166 FILM NUMBER: 19658450 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 2019-03-01 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 2019-03-01 4 M 0 2125 0.00 A 80146 D Common Stock 2019-03-01 4 M 0 600 0.00 A 80746 D Common Stock 2019-03-01 4 M 0 10000 0.00 A 90746 D Common Stock 2019-03-01 4 M 0 10625 0.00 A 101371 D Common Stock 2019-03-01 4 M 0 10317 0.00 A 111688 D Common Stock 2019-03-01 4 F 0 735 6.47 D 110953 D Common Stock 2019-03-01 4 F 0 208 6.47 D 110745 D Common Stock 2019-03-01 4 F 0 3458 6.47 D 107287 D Common Stock 2019-03-01 4 F 0 3675 6.47 D 103612 D Common Stock 2019-03-01 4 F 0 3568 6.47 D 100044 D Restricted Stock Units (RSUs) 2019-03-01 4 M 0 2125 0.00 D Common Stock 2125 2125 D Restricted Stock Units (RSUs) 2019-03-01 4 M 0 600 0.00 D Common Stock 600 600 D Performance -Based Restricted Stock Units (PSUs) 2019-03-01 4 M 0 10000 0.00 D Common Stock 10000 20000 D Restricted Stock Units (RSUs) 2019-03-01 4 M 0 10625 0.00 D Common Stock 10625 31875 D Performance-Based Restricted Stock Units (PSUs) 2019-03-01 4 M 0 10317 0.00 D Common Stock 10317 30951 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 remaining RSUs shall vest on 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, 2020 and March 1, 2021. The remaining RSUs shall vest in installments on each of March 1, 2020, March 1, 2021 and March 1, 2022. 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 will vest on each of March 1, 2020, March 1, 2021 and March 1, 2022. Lauren Walz, as attorney-in-fact for Kenneth L Mahaffey 2019-03-05