0001209191-20-016427.txt : 20200304 0001209191-20-016427.hdr.sgml : 20200304 20200304205649 ACCESSION NUMBER: 0001209191-20-016427 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200301 FILED AS OF DATE: 20200304 DATE AS OF CHANGE: 20200304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richards Douglas J. CENTRAL INDEX KEY: 0001411768 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34166 FILM NUMBER: 20689344 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: 1229 BUSINESS ADDRESS: STREET 1: 51 RIO ROBLES CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 408-240-5500 MAIL ADDRESS: STREET 1: 51 RIO ROBLES CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-03-01 0 0000867773 SUNPOWER CORP SPWR 0001411768 Richards Douglas J. 51 RIO ROBLES SAN JOSE CA 95134 0 1 0 0 EVP, Administration Common Stock 2020-03-01 4 M 0 3750 0.00 A 34226 D Common Stock 2020-03-01 4 M 0 1077 0.00 A 35303 D Common Stock 2020-03-01 4 M 0 11875 0.00 A 47178 D Common Stock 2020-03-01 4 M 0 11875 0.00 A 59053 D Common Stock 2020-03-01 4 M 0 11250 0.00 A 70303 D Common Stock 2020-03-01 4 M 0 10924 0.00 A 81227 D Common Stock 2020-03-01 4 M 0 13305 0.00 A 94532 D Common Stock 2020-03-01 4 M 0 15000 0.00 A 109532 D Common Stock 2020-03-01 4 F 0 1297 8.57 D 108235 D Common Stock 2020-03-01 4 F 0 373 8.57 D 107862 D Common Stock 2020-03-01 4 F 0 4107 8.57 D 103755 D Common Stock 2020-03-01 4 F 0 4107 8.57 D 99648 D Common Stock 2020-03-01 4 F 0 3891 8.57 D 95757 D Common Stock 2020-03-01 4 F 0 3778 8.57 D 91979 D Common Stock 2020-03-01 4 F 0 4601 8.57 D 87378 D Common Stock 2020-03-01 4 F 0 5188 8.57 D 82190 D Restricted Stock Units (RSUs) 2020-03-01 4 M 0 3750 0.00 D Common Stock 3750 0 D Performance Based Restricted Stock Units (PSUs) 2020-03-01 4 M 0 1077 0.00 D Common Stock 1077 0 D Performance-Based Restricted Stock Units (PSUs) 2020-03-01 4 M 0 11875 0.00 D Common Stock 11875 11875 D Restricted Stock Units (RSUs) 2020-03-01 4 M 0 11875 0.00 D Common Stock 11875 11875 D Restricted Stock Units (RSUs) 2020-03-01 4 M 0 11250 0.00 D Common Stock 11250 22500 D Performance-Based Restricted Stock Units (PSUs) 2020-03-01 4 M 0 10924 0.00 D Common Stock 10924 21848 D Performance Based Restricted Stock Units (PSU's) 2020-03-01 4 M 0 13305 0.00 D Common Stock 13305 39915 D Restricted Stock Units (RSU's) 2020-03-01 4 M 0 15000 0.00 D Common Stock 15000 45000 D Performance Based Stock Units (PSU's) 2020-03-01 4 A 0 53220 0.00 D Common Stock 53220 53220 D Restricted Stock Units (RSU's) 2020-03-01 4 A 0 47059 0.00 D Common Stock 47059 47059 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. This is the final installment of these RSU's to vest. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting. On February 22, 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. This is the final installment of these PSUs to vest. 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 final installment of PSUs shall vest on March 1, 2021. The remaining RSUs shall vest on March 1, 2021. The remaining RSUs shall vest on 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 shall vest each on March 1, 2021 and March 1, 2022. On February 12, 2019, 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 29, 2020 and, based on that assessment, determined the number of PSUs. The remaining PSUs shall vest in equal installments each on March 1, 2021, March 1, 2022 and March 1, 2023 The remaining RSUs shall vest on March 1, 2021, March 1, 2022 and March 1, 2023 On February 12, 2019, 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 29, 2020 and, based on that assessment, determined the number of PSUs. The PSUs will vest in four equal installments on each of March 1, 2020, March 1, 2021, March 1, 2022 and March 1, 2023." The RSUs shall vest in four equal installments on each of March 1, 2021, March 1, 2022, March 1, 2023, and March 1, 2024. Lauren Walz, as attorney-in-fact for Douglas J. Richards 2020-03-04