SUNPOWER CORP Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 81 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-12: Reporting owner ARRIOLA DENNIS V; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-11-11: Reporting owner Wood Patrick III; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-11-11: Reporting owner Wood Patrick III; Form 4; Security Restricted Stock Units (RSUs); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-11-11: Reporting owner Wood Patrick III; Form 4; Security Restricted Stock Units (RSUs); 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-11-12 | ARRIOLA DENNIS V Officer (SVP and CFO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 33,334 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 2,000 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,197 1,197 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,197 0 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 4,000 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,205 1,205 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,205 0 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,014 2,014 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,014 0 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 2,000 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,014 1,014 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,014 0 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 2,000 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,197 1,197 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,197 0 owned after | $0.00 | 2009-11-13 | |
| 2009-11-11 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 2,000 owned after | $0.00 | 2009-11-12 | |
| 2009-11-11 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,197 1,197 owned after | $0.00 | 2009-11-12 | |
| 2009-11-11 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,197 0 owned after | $0.00 | 2009-11-12 | |
| 2009-09-11 | Richards Douglas J. Officer (VP, HR and Corporate Services) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 12,500 owned after | $0.00 | 2009-09-15 | |
| 2009-08-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 3,000 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +992 992 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −992 0 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 6,000 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +906 906 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −906 0 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,826 1,826 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,826 0 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 3,000 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +826 826 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −826 0 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 3,000 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +992 992 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −992 0 owned after | $0.00 | 2009-08-13 | |
| 2009-08-11 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 3,000 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +992 992 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −992 0 owned after | $0.00 | 2009-08-12 | |
| 2009-08-07 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,320 5,280 owned after | $0.00 | 2009-08-11 | |
| 2009-08-05 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 3,000 owned after | $0.00 | 2009-08-07 | |
| 2009-08-05 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $0.00 | 2009-08-07 | |
| 2009-08-05 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000 1,000 owned after | $0.00 | 2009-08-07 | |
| 2009-08-05 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $0.00 | 2009-08-07 | |
| 2009-07-02 | NEESE MARTY T Officer (Chief Operating Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 33,334 owned after | $0.00 | 2009-07-06 | |
| 2009-05-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2009-05-12 | |
| 2009-05-11 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2009-05-12 | |
| 2009-05-11 | BUFE UWE-ERNST Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2009-05-12 | |
| 2009-05-11 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2009-05-12 | |
| 2009-05-11 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2009-05-12 | |
| 2009-05-09 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $0.00 | 2009-05-12 | |
| 2009-05-09 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $0.00 | 2009-05-12 | |
| 2009-05-09 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $0.00 | 2009-05-12 | |
| 2009-05-09 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $0.00 | 2009-05-12 | |
| 2009-02-16 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,600 6,600 owned after | $0.00 | 2009-02-17 | |
| 2009-02-11 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.00 | 2009-02-13 | |
| 2009-02-11 | Wenger Howard Officer (President, Global Bus. Units) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.00 | 2009-02-13 | |
| 2009-02-11 | Swanson Richard M Officer (President & CTO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $0.00 | 2009-02-13 | |
| 2009-02-11 | Richards Douglas J. Officer (VP, HR and Corporate Services) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2009-02-13 | |
| 2009-02-11 | NEESE MARTY T Officer (Chief Operating Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $0.00 | 2009-02-13 | |
| 2009-02-11 | LEDESMA BRUCE Officer (General Counsel & Corp. Sec.) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2009-02-13 | |
| 2009-02-11 | ARRIOLA DENNIS V Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $0.00 | 2009-02-13 | |
| 2009-02-09 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 1,000 owned after | $0.00 | 2009-02-11 | |
| 2009-02-09 | RODGERS THURMAN J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 2,500 owned after | $0.00 | 2009-02-11 | |
| 2009-02-09 | ATKINS BETSY S Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 1,000 owned after | $0.00 | 2009-02-11 | |
| 2009-02-09 | ALBRECHT W STEVE Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 1,000 owned after | $0.00 | 2009-02-11 | |
| 2009-01-31 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,878 29,757 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,550 11,100 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | Wenger Howard Officer (President, Global Bus. Units) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,569 7,138 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | Wenger Howard Officer (President, Global Bus. Units) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,333 2,667 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | Swanson Richard M Officer (President & CTO) | 4 | Performanc-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,231 4,461 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | Swanson Richard M Officer (President & CTO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −833 1,667 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | SHUGAR DANIEL S Officer (Pres., SunPower Corp., Systems) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,677 5,353 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | SHUGAR DANIEL S Officer (Pres., SunPower Corp., Systems) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 2,000 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | Richards Douglas J. Officer (VP, HR and Corporate Services) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,231 4,461 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | Richards Douglas J. Officer (VP, HR and Corporate Services) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −833 1,667 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | LEDESMA BRUCE Officer (General Counsel & Corp. Sec.) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,231 4,461 owned after | $0.00 | 2009-02-02 | |
| 2009-01-31 | LEDESMA BRUCE Officer (General Counsel & Corp. Sec.) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −833 1,667 owned after | $0.00 | 2009-02-02 | |
| 2009-01-29 | WERNER THOMAS H Director, Officer (Chief Executive Officer) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +44,635 44,635 owned after | $0.00 | 2009-02-02 | |
| 2009-01-29 | Wenger Howard Officer (President, Global Bus. Units) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,707 10,707 owned after | $0.00 | 2009-02-02 | |
| 2009-01-29 | Swanson Richard M Officer (President & CTO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,692 6,692 owned after | $0.00 | 2009-02-02 | |
| 2009-01-29 | SHUGAR DANIEL S Officer (Pres., SunPower Corp., Systems) | 4 | Performanc-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,030 8,030 owned after | $0.00 | 2009-02-02 | |
| 2009-01-29 | Richards Douglas J. Officer (VP, HR and Corporate Services) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,692 6,692 owned after | $0.00 | 2009-02-02 | |
| 2009-01-29 | LEDESMA BRUCE Officer (General Counsel & Corp. Sec.) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,692 6,692 owned after | $0.00 | 2009-02-02 |