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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) (1) | $ 28.0782 | (2) | 11/10/2007 | Common Stock | 28,000 | 28,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 40 | (2) | 04/12/2008 | Common Stock | 14,000 | 14,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 50.9375 | (2) | 10/11/2008 | Common Stock | 30,000 | 30,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 18.58 | (2) | 04/18/2009 | Common Stock | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 16.25 | (2) | 06/13/2009 | Common Stock | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 7.91 | (2) | 09/27/2009 | Common Stock | 15,000 | 15,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 12.59 | (2) | 11/07/2009 | Common Stock | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 12.59 | (2) | 11/07/2009 | Common Stock | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 9.14 | (2) | 03/19/2010 | Common Stock | 200 | 200 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 9.14 | (2) | 03/19/2010 | Common Stock | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 9.14 | (2) | 03/19/2010 | Common Stock | 50,000 | 50,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 7.07 | (2) | 05/14/2010 | Common Stock | 50,000 | 50,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 3.7 | (3) | 07/25/2010 | Common Stock | 6,000 | 6,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 3.7 | (4) | 07/25/2010 | Common Stock | 75,000 | 75,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 4.2 | (5) | 05/21/2011 | Common Stock | 20,000 | 20,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 4.2 | (6) | 05/21/2011 | Common Stock | 45,000 | 45,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 4.208 | (7) | 11/13/2011 | Common Stock | 50,000 | 50,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 3.94 | (8) | 09/17/2012 | Common Stock | 60,000 | 60,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 4.12 | (9) | 01/27/2013 | Common Stock | 150,000 | 150,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 3.44 | (10) | 04/28/2013 | Common Stock | 250,000 | 250,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 3.85 | (11) | 07/28/2013 | Common Stock | 300,000 | 300,000 | D | ||||||||
Employee Stock Option (Right to Buy) (1) | $ 4.95 | (12) | 04/27/2016 | Common Stock | 500,000 | 500,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Grantham Donald C 4150 NETWORK CIRCLE SANTA CLARA, CA 95054 |
EVP, Global Sales & Services |
/s/ Donald C. Grantham | 07/14/2006 | |
**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) | This option was granted under the Sun Microsystems, Inc. 1990 Long-Term Equity Incentive Plan. |
(2) | Immediately. |
(3) | A total of 3,600 shares are fully vested and exercisable with the remaining 2,400 shares becoming exercisable as follows: (i) 1,200 shares on July 25, 2006 and (ii) 1,200 shares on July 25, 2007. |
(4) | A total of 45,000 shares are fully vested and exercisable with the remaining 30,000 shares becoming exercisable as follows: (i) 15,000 shares on July 25, 2006 and (ii) 15,000 shares on July 25, 2007. |
(5) | A total of 12,000 shares are fully vested and exercisable with the remaining 8,000 shares becoming exercisable as follows: (i) 4,000 shares on May 21, 2007 and (ii) 4,000 shares on May 21, 2008. |
(6) | A total of 27,000 shares are fully vested and exercisable with the remaining 18,000 shares becoming exercisable as follows: (i) 9,000 shares on May 21, 2007 and (ii) 9,000 shares on May 21, 2008. |
(7) | A total of 20,000 shares are fully vested and exercisable with the remaining 30,000 shares becoming exercisable as follows: (i) 10,000 shares on November 13, 2006, (ii) 10,000 shares on November 13, 2007 and (iii) 10,000 shares on November 13, 2008. |
(8) | A total of 12,000 shares are fully vested and exercisable with the remaining 48,000 shares becoming exercisable as follows: (i) 12,000 shares on September 17, 2006, (ii) 12,000 shares on September 17, 2007, (iii) 12,000 shares on September 17, 2008 and (iv) 12,000 shares on September 17, 2009. |
(9) | A total of 30,000 shares are fully vested and exercisable with the remaining 120,000 shares becoming exercisable as follows: (i) 30,000 shares on January 27, 2007, (ii) 30,000 shares on January 27, 2008, (iii) 30,000 shares on January 27, 2009 and (iv) 30,000 shares on January 27, 2010. |
(10) | A total of 50,000 shares are fully vested and exercisable with the remaining 200,000 shares becoming exercisable as follows: (i) 50,000 shares on April 28, 2007, (ii) 50,000 shares on April 28, 2008, (iii) 50,000 shares on April 28, 2009 and (iv) 50,000 shares on April 28, 2010. |
(11) | This option vests and becomes exercisable in five equal annual installments of 60,000 shares beginning on July 28, 2006. |
(12) | This option vests and becomes exercisable in five equal annual installments of 100,000 shares beginning on April 27, 2007. |