|
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) (1) | $ 50.1563 | (2) | 11/08/2005 | Common Stock | 20,000 | 20,000 | D | ||||||||
Director Stock Option (Right to Buy) (1) | $ 12.59 | (3) | 11/07/2006 | Common Stock | 10,000 | 10,000 | D | ||||||||
Director Stock Option (Right to Buy) (1) | $ 3.4 | (4) | 11/07/2007 | Common Stock | 10,000 | 10,000 | D | ||||||||
Director Stock Option (Right to Buy) (1) | $ 4.208 | (5) | 11/13/2008 | Common Stock | 10,000 | 10,000 | D | ||||||||
Director Stock Option (Right to Buy) (1) | $ 4.6 | 11/10/2004 | A | 10,000 | (6) | 11/10/2009 | Common Stock | 10,000 | (7) | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOERR L JOHN 4150 NETWORK CIRCLE SANTA CLARA, CA 95054 |
X |
/s/ Irma Villarreal, Attorney-in-Fact | 11/10/2004 | |
**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) | Option granted under Sun Microsystems, Inc. 1988 Director's Stock Option Plan. |
(2) | Shares vested and became exercisable in four equal annual installments of 5,000 shares beginning November 7, 2001. |
(3) | A total of 7,500 shares are fully vested and exercisable with the remaining 2,500 shares becoming exercisable with the fourth of four equal annual installments on October 26, 2005. |
(4) | A total of 5,000 shares are fully vested and exercisable with the remaining 5,000 shares becoming exercisable in two equal annual installments of 2,500 shares on October 26, 2005 and November 2, 2006. |
(5) | A total of 2,500 shares are fully vested and exercisable with the remaining shares becoming exercisable in three equal annual installments of 2,500 shares on October 26, 2005, November 2, 2006 and the earlier of November 13, 2007 or the date of the 2007 annual shareholders meeting. |
(6) | Shares vest and become exercisable in four equal annual installments of 2,500 shares as follows: first anniversary- October 26, 2005; second anniversary- November 2, 2006; third anniversary will be the earlier of November 10, 2007 or the date of the 2007 annual shareholders meeting; and fourth anniversary will be the earlier of November 10, 2008 or the date of the 2008 annual shareholders meeting. |
(7) | The price of the derivative security will be determined at a future date. |