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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 5.4532 | (7) | 06/17/2008 | Common Stock | 3,200,000 | 3,200,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 12.5313 | (7) | 04/20/2009 | Common Stock | 400,000 | 400,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 40 | (7) | 04/12/2010 | Common Stock | 1,000,000 | 1,000,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 18.58 | (7) | 04/18/2011 | Common Stock | 1,500,000 | 1,500,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 12.59 | (7) | 11/07/2011 | Common Stock | 1,250,000 | 1,250,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 12.59 | (7) | 11/07/2011 | Common Stock | 1,250,000 | 1,250,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 9.14 | (7) | 03/19/2012 | Common Stock | 200 | 200 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 6.45 | (7) | 05/02/2012 | Common Stock | 200,000 | 200,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 7.07 | (7) | 05/14/2012 | Common Stock | 800,000 | 800,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 3.7 | (8) | 07/25/2012 | Common Stock | 1,000,000 | 1,000,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 3.85 | (9) | 07/23/2013 | Common Stock | 1,500,000 | 1,500,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 3.79 | (10) | 07/29/2014 | Common Stock | 1,250,000 | 1,250,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 3.85 | (11) | 07/28/2015 | Common Stock | 900,000 | 900,000 | D | ||||||||
Employee Stock Option (Right to Buy) (6) | $ 4.95 | (12) | 04/27/2016 | Common Stock | 2,100,000 | 2,100,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCNEALY SCOTT G 4150 NETWORK CIRCLE SANTA CLARA, CA 95054 |
X |
/s/ Scott G. McNealy | 01/30/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 20, 2006. |
(2) | This includes 75,000 shares of unvested restricted stock. |
(3) | 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. |
(4) | Gift from reporting person's mother. |
(5) | 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. |
(6) | This option was granted under the Sun Microsystems, Inc. 1990 Long-Term Equity Incentive Plan. |
(7) | Immediately. |
(8) | This option vests and becomes exercisable in five equal annual installments of 200,000 shares beginning on July 25, 2003. |
(9) | This option vests and becomes exercisable in five equal annual installments of 300,000 shares beginning on July 23, 2004. |
(10) | This option vests and becomes exercisable in five equal annual installments of 250,000 shares beginning on July 29, 2005. |
(11) | This option vests and becomes exercisable in five equal annual installments of 180,000 shares beginning on July 28, 2006. |
(12) | This option vests and becomes exercisable in five equal annual installments of 420,000 shares beginning on April 27, 2007. |