SEC Form 4 · accession 0001209191-18-057148
SUNPOWER CORP · SPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Lawrence Mahaffey
Officer — EVP & General Counsel
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 4:11 pm EST
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 | Nov 1, 2018 | M | 12,500 | $0.00 | A | 80,296 | D | |
| Common Stock | Nov 1, 2018 | F | 4,323 | $6.23 | D | 75,973 | 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 | — | Nov 1, 2018 | M | 12,500 | D | — | — | Common Stock | 12,500 | 25,000 | 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 remaining RSUs shall vest in installments on November 1, 2019 and November 1, 2020.