|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Director Stock Option (Right to Buy) (2) | $ 50.1563 | (3) | 11/08/2005 | Common Stock | 20,000 | 20,000 | D | ||||||||
Director Stock Option (Right to Buy) (2) | $ 12.59 | (4) | 11/07/2006 | Common Stock | 10,000 | 10,000 | D | ||||||||
Director Stock Option (Right to Buy) (2) | $ 3.4 | (5) | 11/07/2007 | Common Stock | 10,000 | 10,000 | D | ||||||||
Director Stock Option (Right to Buy) (2) | $ 4.208 | (6) | 11/13/2008 | Common Stock | 10,000 | 10,000 | D | ||||||||
Director Stock Option (Right to Buy) (2) | $ 4.6 | (7) | 11/10/2009 | Common Stock | 10,000 | 10,000 | D | ||||||||
Director Stock Option (Right to Buy) (2) | $ 3.9 | 10/27/2005 | A | 10,000 | (8) | 10/27/2010 | Common Stock | 10,000 | $ 3.9 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BARKSDALE JAMES L 4150 NETWORK CIRCLE SANTA CLARA, CA 95054 |
X |
/s/ James L. Barksdale | 10/27/2005 | |
**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) | Includes: (i) 2,400 shares held by a charitable remainder trust for which Mr. Barksdale serves as trustee; and (ii) 4,000 shares held by a limited partnership for which Mr. Barksdale serves as a general partner. Mr. Barksdale disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(2) | Granted under Sun Microsystems, Inc. 1988 Directors' Stock Option Plan. |
(3) | This option originally vested in four equal annual installments on the anniversary date of the grant, November 8, 2000, or the date of Sun's Annual Meeting of Stockholders, whichever was earlier. Effective May 30, 2005, Sun accelerated the vesting schedules for all stock options outstanding as of that date with exercise prices of $6.00 or more, including this option. |
(4) | This option originally vested in four equal annual installments on the anniversary date of the grant, November 7, 2001, or the date of Sun's Annual Meeting of Stockholders, whichever was earlier. Effective May 30, 2005, Sun accelerated the vesting schedules for all stock options outstanding as of that date with exercise prices of $6.00 or more, including this option. |
(5) | This option vests in four equal annual installments on the anniversary date of the grant, November 7, 2002, or the date of Sun's Annual Meeting of Stockholders, whichever is earlier. |
(6) | This option vests in four equal annual installments on the anniversary date of the grant, November 13, 2003, or the date of Sun's Annual Meeting of Stockholders, whichever is earlier. |
(7) | This option vests in four equal annual installments on the anniversary date of the grant, November 10, 2004, or the date of Sun's Annual Meeting of Stockholders, whichever is earlier. |
(8) | This option vests in four equal annual installments on the anniversary date of the grant, October 27, 2005, or the date of Sun's Annual Meeting of Stockholders, whichever is earlier. |