SUNPOWER CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 69 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-12-26: Reporting owner Swanson Richard M; Form 4; Security Employee Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-12-26: Reporting owner HERNANDEZ EMMANUEL T; Form 4; Security Employee Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-12-19: Reporting owner WERNER THOMAS H; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-12-15: Reporting owner ALBRECHT W STEVE; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2006-12-26 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 290,800 owned after | $3.30 exercise price | 2007-01-03 | |
| 2006-12-26 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 801,738 owned after | $3.30 exercise price | 2007-01-03 | |
| 2006-12-19 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 365,000 owned after | $0.50 exercise price | 2006-12-20 | |
| 2006-12-15 | ALBRECHT W STEVE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,200 25,000 owned after | $9.50 exercise price | 2006-12-18 | |
| 2006-12-13 | ALBRECHT W STEVE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,800 28,200 owned after | $9.50 exercise price | 2006-12-15 | |
| 2006-12-06 | ATKINS BETSY S Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,501 23,499 owned after | $9.50 exercise price | 2006-12-08 | |
| 2006-12-06 | ATKINS BETSY S Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,200 4,800 owned after | $10.80 exercise price | 2006-12-08 | |
| 2006-12-01 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 254,000 owned after | $3.30 exercise price | 2006-12-05 | |
| 2006-11-28 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 821,738 owned after | $3.30 exercise price | 2006-11-30 | |
| 2006-11-28 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 297,800 owned after | $3.30 exercise price | 2006-11-30 | |
| 2006-11-21 | Pai Panemangalore Madhavaraya Officer (Chief Operating Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −42,000 341,000 owned after | $3.30 exercise price | 2006-11-24 | |
| 2006-11-21 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 385,000 owned after | $0.50 exercise price | 2006-11-24 | |
| 2006-11-15 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,000 256,000 owned after | $3.30 exercise price | 2006-11-17 | |
| 2006-11-01 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 274,000 owned after | $3.30 exercise price | 2006-11-02 | |
| 2006-10-24 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 304,800 owned after | $3.30 exercise price | 2006-10-26 | |
| 2006-10-24 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 871,738 owned after | $3.30 exercise price | 2006-10-26 | |
| 2006-10-20 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 276,000 owned after | $3.30 exercise price | 2006-10-23 | |
| 2006-10-17 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 405,000 owned after | $0.50 exercise price | 2006-10-19 | |
| 2006-09-26 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 881,738 owned after | $3.30 exercise price | 2006-09-27 | |
| 2006-09-26 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 311,800 owned after | $3.30 exercise price | 2006-09-27 | |
| 2006-09-19 | Pai Panemangalore Madhavaraya Officer (Chief Operating Officer) | 4 | Employee Stock Option (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 383,000 owned after | $3.30 exercise price | 2006-09-21 | |
| 2006-09-19 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 425,000 owned after | $0.50 exercise price | 2006-09-21 | |
| 2006-09-01 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 278,000 owned after | $3.30 exercise price | 2006-09-05 | |
| 2006-08-22 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 318,800 owned after | $3.30 exercise price | 2006-08-23 | |
| 2006-08-22 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option(Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 891,738 owned after | $3.30 exercise price | 2006-08-23 | |
| 2006-08-15 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 445,000 owned after | $0.50 exercise price | 2006-08-16 | |
| 2006-08-01 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 280,000 owned after | $3.30 exercise price | 2006-08-02 | |
| 2006-07-25 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 901,738 owned after | $3.30 exercise price | 2006-07-27 | |
| 2006-07-25 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 325,800 owned after | $3.30 exercise price | 2006-07-27 | |
| 2006-07-21 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 282,000 owned after | $3.30 exercise price | 2006-07-24 | |
| 2006-07-19 | Pai Panemangalore Madhavaraya Officer (Chief Operating Officer) | 4 | Employee Stock Option (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 397,000 owned after | $3.30 exercise price | 2006-07-21 | |
| 2006-07-19 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 465,000 owned after | $0.50 exercise price | 2006-07-21 | |
| 2006-06-27 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 332,800 owned after | $3.30 exercise price | 2006-07-27 | |
| 2006-06-27 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option(Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 931,738 owned after | $3.30 exercise price | 2006-06-29 | |
| 2006-06-22 holding as of filing | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 3/A | Employee Stock Option (Right To Buy) Derivative · Direct | Holding | $0.50 exercise price | 2006-06-22 | ||
| 2006-06-22 holding as of filing | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 3/A | Employee Stock Option (Right To Buy) Derivative · Direct | Holding | $3.30 exercise price | 2006-06-22 | ||
| 2006-06-22 holding as of filing | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 3/A | Employee Stock Option (Right To Buy) Derivative · Direct | Holding | $3.30 exercise price | 2006-06-22 | ||
| 2006-06-20 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 485,000 owned after | $0.50 exercise price | 2006-06-22 | |
| 2006-06-01 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 284,000 owned after | $3.30 exercise price | 2006-06-02 | |
| 2006-05-26 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | EMPLOYEE STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 941,738 owned after | $3.30 exercise price | 2006-06-01 | |
| 2006-05-23 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −46,000 286,000 owned after | $3.30 exercise price | 2006-05-24 | |
| 2006-05-22 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 332,000 owned after | $3.30 exercise price | 2006-05-24 | |
| 2006-05-18 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4/A | EMPLOYEE STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 991,738 owned after | $3.30 exercise price | 2006-06-01 | |
| 2006-05-18 | HERNANDEZ EMMANUEL T Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 991,738 owned after | $3.30 | 2006-05-22 | |
| 2006-05-18 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 339,800 owned after | $3.30 | 2006-05-22 | |
| 2006-05-16 | Pai Panemangalore Madhavaraya Officer (Chief Operating Officer) | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 411,000 owned after | $3.30 exercise price | 2006-07-21 | |
| 2006-05-16 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 505,000 owned after | $0.50 exercise price | 2006-06-22 | |
| 2006-05-16 | Pai Panemangalore Madhavaraya Officer (Chief Operating Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +14,000 411,000 owned after | $3.30 | 2006-05-18 | |
| 2006-05-16 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 1,395,300 owned after | $0.50 | 2006-05-18 | |
| 2006-05-05 | ALBRECHT W STEVE Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $39.35 exercise price | 2007-04-24 | |
| 2006-05-05 | ATKINS BETSY S Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $39.35 exercise price | 2007-04-24 | |
| 2006-05-05 | Wood Patrick III Director | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $39.35 exercise price | 2007-04-24 | |
| 2006-05-05 | Wood Patrick III Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $39.74 exercise price | 2006-06-28 | |
| 2006-05-05 | ATKINS BETSY S Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $39.74 exercise price | 2006-06-28 | |
| 2006-05-05 | ALBRECHT W STEVE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $39.74 exercise price | 2006-06-28 | |
| 2006-04-14 | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 336,000 owned after | $3.30 exercise price | 2006-05-24 | |
| 2006-04-04 holding as of filing | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 3 | EMPLOYEE STOCK OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $0.50 exercise price | 2006-04-04 | ||
| 2006-04-04 holding as of filing | Aschenbrenner Peter Claus Officer (VP SALES & MARKETING) | 3 | EMPLOYEE STOCK OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $3.30 exercise price | 2006-04-04 | ||
| 2006-02-22 | Swanson Richard M Officer (Chief Technical Officer) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 15,000 owned after | $0.30 exercise price | 2007-03-16 | |
| 2006-02-03 holding as of filing | S A C CAPITAL MANAGEMENT L L C | SAC CAPITAL ADVISORS LLC | COHEN STEVEN A/SAC CAPITAL MGMT LP 10% Owner | 10% Owner | 10% Owner | 3 | Call (right to buy) Derivative · Indirect · See Footnote | Holding | $40.00 exercise price | 2006-02-03 | ||
| 2006-02-03 holding as of filing | SAC CAPITAL ASSOCIATES LLC 10% Owner | 3 | Call (right to buy) Derivative · Indirect · See footnote | Holding | $40.00 exercise price | 2006-02-03 | ||
| 2006-02-03 holding as of filing | SAC CAPITAL ASSOCIATES LLC 10% Owner | 3 | Call (right to buy) Derivative · Indirect · See footnote | Holding | $40.00 exercise price | 2006-02-03 | ||
| 2006-02-02 | SAC CAPITAL ADVISORS LLC | S A C CAPITAL MANAGEMENT L L C | COHEN STEVEN A/SAC CAPITAL MGMT LP 10% Owner | 10% Owner | 10% Owner | 4 | Call (right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −1,500 519,100 owned after | $0.15 | 2006-02-03 | |
| 2006-02-02 | SAC CAPITAL ASSOCIATES LLC 10% Owner | 4 | Call (right to buy) Derivative · Indirect · see footnote | S Open market or private sale of non-derivative or derivative security | −1,500 519,100 owned after | $0.15 | 2006-02-03 | |
| 2006-01-26 | SAC CAPITAL ADVISORS LLC | S A C CAPITAL MANAGEMENT L L C | COHEN STEVEN A/SAC CAPITAL MGMT LP 10% Owner | 10% Owner | 10% Owner | 4 | Call (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +49 504,900 owned after | $0.50 | 2006-02-03 | |
| 2006-01-26 | SAC CAPITAL ADVISORS LLC | S A C CAPITAL MANAGEMENT L L C | COHEN STEVEN A/SAC CAPITAL MGMT LP 10% Owner | 10% Owner | 10% Owner | 4 | Call (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +86 513,500 owned after | $0.55 | 2006-02-03 | |
| 2006-01-26 | SAC CAPITAL ADVISORS LLC | S A C CAPITAL MANAGEMENT L L C | COHEN STEVEN A/SAC CAPITAL MGMT LP 10% Owner | 10% Owner | 10% Owner | 4 | Call (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +56 519,100 owned after | $0.55 | 2006-02-03 | |
| 2006-01-26 | SAC CAPITAL ADVISORS LLC | S A C CAPITAL MANAGEMENT L L C | COHEN STEVEN A/SAC CAPITAL MGMT LP 10% Owner | 10% Owner | 10% Owner | 4 | Call (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +1,500 669,100 owned after | $0.26 | 2006-02-03 | |
| 2006-01-26 | SAC CAPITAL ASSOCIATES LLC 10% Owner | 4 | Call (right to buy) Derivative · Indirect · see footnote | P Open market or private purchase of non-derivative or derivative security | +1,500 669,100 owned after | $0.26 | 2006-02-03 |