SEC Form 4/A · accession 0001209191-18-024987
SUNPOWER CORP · SPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Vidul Prakash
Officer — Principal Accounting Officer
Period of report
Mar 1, 2018
Accepted (ET)
Apr 16, 2018 · 4:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000867773
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2018 | M | 2,934 | $0.00 | D | 18,549 | D | |
| Common Stock | Mar 1, 2018 | M | 834 | $0.00 | D | 19,383 | D | |
| Common Stock | Mar 1, 2018 | M | 67 | $0.00 | D | 19,450 | D | |
| Common Stock | Mar 1, 2018 | M | 2,150 | $0.00 | D | 21,600 | D | |
| Common Stock | Mar 1, 2018 | M | 600 | $0.00 | D | 22,200 | D | |
| Common Stock | Mar 1, 2018 | M | 7,500 | $0.00 | D | 29,700 | D | |
| Common Stock | Mar 1, 2018 | F | 1,015 | $7.06 | D | 28,685 | D | |
| Common Stock | Mar 1, 2018 | F | 289 | $7.06 | D | 28,396 | D | |
| Common Stock | Mar 1, 2018 | F | 24 | $7.06 | D | 28,372 | D | |
| Common Stock | Mar 1, 2018 | F | 744 | $7.06 | D | 27,628 | D | |
| Common Stock | Mar 1, 2018 | F | 208 | $7.06 | D | 27,420 | D | |
| Common Stock | Mar 1, 2018 | F | 2,594 | $7.06 | D | 24,826 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (RSUs)F2,F3 | — | Mar 1, 2018 | M | 2,934 | D | — | — | Common Stock | 2,934 | 0 | D |
| Restricted Stock Units (RSUs)F2,F3 | — | Mar 1, 2018 | M | 834 | D | — | — | Common Stock | 834 | 0 | D |
| Restricted Stock Units (RSUs)F2,F3 | — | Mar 1, 2018 | M | 67 | D | — | — | Common Stock | 67 | 0 | D |
| Restricted Stock Units (RSUs)F2,F4 | — | Mar 1, 2018 | M | 2,150 | D | — | — | Common Stock | 2,150 | 4,300 | D |
| Restricted Stock Units (RSUs)F2,F4 | — | Mar 1, 2018 | M | 600 | D | — | — | Common Stock | 600 | 1,200 | D |
| Restricted Stock Units (RSUs)F2,F4 | — | Mar 1, 2018 | M | 7,500 | D | — | — | Common Stock | 7,500 | 22,500 | D |
| Restricted Stock Units (RSUs)F5,F2,F6 | — | Mar 1, 2018 | A | 36,000 | A | — | — | Common Stock | 36,000 | 36,000 | D |
Explanation of responses
- F1Disposition of shares exempt under Rule 16b-3 as payment of tax liability to Company by delivery or withholding securities incident to vesting of restricted shares.
- F2Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.
- F3The last vesting date of these RSUs was March 1, 2018.
- F4The remaining RSUs shall vest on each of March 1, 2019 and March 1, 2020.
- F5Amendment filed solely to reflect an administrative correction to the original filing, whereby amounts were erroneously listed in column (A).
- F6The RSUs shall vest in four equal installments on each of March 1, 2019, March 1, 2020, March 1, 2021 and March 1, 2022.