1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol SUN MICROSYSTEMS, INC.
[JAVA] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) | Director | | 10% Owner | | X | Officer (give title below) | | Other (specify below) | | EVP, Microelectronics |
|
3. Date of Earliest Transaction (Month/Day/Year) 07/28/2009 |
4. If Amendment, Date of Original Filed (Month/Day/Year)
| 6. Individual or Joint/Group Filing (Check Applicable Line)| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1.Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | Amount | (A) or (D) | Price |
|
Common Stock
| 07/28/2009 | | F | |
201
| D | $
9.2
|
88,929
|
D
| |
|
Common Stock
| | | | | | | |
10,000
|
I
|
Shares held by Michael E. Splain & Donna M. Splain JTWROS
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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 |
|
Employee Stock Option (Right to Buy)
| $
65
| | | | | | | | 06/13/2009 |
Common Stock
|
2,500
| |
2,500
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
31.64
| | | | | | | | 09/27/2009 |
Common Stock
|
3,750
| |
3,750
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
50.36
| | | | | | | | 11/07/2009 |
Common Stock
|
6,250
| |
6,250
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
50.36
| | | | | | | | 11/07/2009 |
Common Stock
|
6,250
| |
6,250
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
36.56
| | | | | | | | 03/19/2010 |
Common Stock
|
50
| |
50
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
36.56
| | | | | | | | 03/19/2010 |
Common Stock
|
3,750
| |
3,750
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
14.8
| | | | | | | | 07/25/2010 |
Common Stock
|
7,500
| |
7,500
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
14.8
| | | | | | | | 07/25/2010 |
Common Stock
|
11,250
| |
11,250
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
16.8
| | | | | | | | 05/21/2011 |
Common Stock
|
11,250
| |
11,250
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
16.832
| | | | | | | | 11/13/2011 |
Common Stock
|
11,250
| |
11,250
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
15
| | | | | | | | 05/18/2012 |
Common Stock
|
10,000
| |
10,000
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
15.76
| | | | | | | | 09/17/2012 |
Common Stock
|
12,500
| |
12,500
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
18.4
| | | | | | | | 11/10/2012 |
Common Stock
|
5,000
| |
5,000
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
16.48
| | | | | | | | 01/27/2013 |
Common Stock
|
15,000
| |
15,000
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
15.4
| | | | | | | | 07/28/2013 |
Common Stock
|
20,750
| |
20,750
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
21.32
| | | | | | | | 11/02/2014 |
Common Stock
|
17,500
| |
17,500
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
26.56
| | | | | | | | 01/31/2015 |
Common Stock
|
13,125
| |
13,125
|
D
| |
|
Employee Stock Option (Right to Buy)
| $
20
| | | | | | | | 11/14/2015 |
Common Stock
|
15,525
| |
15,525
|
D
| |
| /s/ Craig D. Norris, Attorney-In-Fact | 07/28/2009 |
| ** Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * 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).
|
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure. |
| 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 Number. |