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: 72 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-28: Reporting owner Heang Vichheka; Form 4; Security Restricted Stock Units (RSUs); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-12-05: Reporting owner Sial Manavendra; Form 4; Security Restricted Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-11-11: 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).
- 2019-11-11: 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-12-28 | Heang Vichheka Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,750 13,750 owned after | $0.00 | 2019-12-31 | |
| 2019-12-05 | Sial Manavendra Officer (EVP and CFO) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,000 80,000 owned after | $0.00 | 2019-12-09 | |
| 2019-11-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,855 8,855 owned after | $0.00 | 2019-11-12 | |
| 2019-11-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,855 0 owned after | $0.00 | 2019-11-12 | |
| 2019-11-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,855 8,855 owned after | $0.00 | 2019-11-12 | |
| 2019-11-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,855 0 owned after | $0.00 | 2019-11-12 | |
| 2019-11-11 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,855 8,855 owned after | $0.00 | 2019-11-12 | |
| 2019-11-11 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,855 0 owned after | $0.00 | 2019-11-12 | |
| 2019-11-01 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Restricted Stock Units (RSU's) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 12,500 owned after | $0.00 | 2019-11-06 | |
| 2019-08-12 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,678 5,678 owned after | $0.00 | 2019-08-14 | |
| 2019-08-12 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,678 0 owned after | $0.00 | 2019-08-14 | |
| 2019-08-12 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,678 5,678 owned after | $0.00 | 2019-08-14 | |
| 2019-08-12 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,678 0 owned after | $0.00 | 2019-08-14 | |
| 2019-08-12 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,678 5,678 owned after | $0.00 | 2019-08-14 | |
| 2019-08-12 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,678 0 owned after | $0.00 | 2019-08-14 | |
| 2019-05-13 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,411 9,411 owned after | $0.00 | 2019-05-14 | |
| 2019-05-13 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,411 0 owned after | $0.00 | 2019-05-14 | |
| 2019-05-13 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,411 9,411 owned after | $0.00 | 2019-05-14 | |
| 2019-05-13 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,411 0 owned after | $0.00 | 2019-05-14 | |
| 2019-05-13 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,411 9,411 owned after | $0.00 | 2019-05-14 | |
| 2019-05-13 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,411 0 owned after | $0.00 | 2019-05-14 | |
| 2019-05-05 | Sial Manavendra Officer (EVP and CFO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 75,000 owned after | $0.00 | 2019-05-07 | |
| 2019-04-18 | WERNER THOMAS H Director, Officer (Pres and CEO) | 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 | 2019-04-22 | |
| 2019-04-18 | Heang Vichheka Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,334 17,334 owned after | $0.00 | 2019-04-22 | |
| 2019-04-18 | Heang Vichheka Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $0.00 | 2019-04-22 | |
| 2019-04-05 | Heang Vichheka Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,785 15,570 owned after | $0.00 | 2019-04-09 | |
| 2019-03-31 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −32,500 32,500 owned after | $0.00 | 2019-04-02 | |
| 2019-03-05 holding as of filing | Heang Vichheka Officer (Principal Accounting Officer) | 3 | Restricted Stock Units (RSUs) Derivative · Direct | Holding | no price filed | 2019-03-05 | ||
| 2019-03-05 holding as of filing | Heang Vichheka Officer (Principal Accounting Officer) | 3 | Restricted Stock Units (RSUs) Derivative · Direct | Holding | no price filed | 2019-03-05 | ||
| 2019-03-05 holding as of filing | Heang Vichheka Officer (Principal Accounting Officer) | 3 | Restricted Stock Units (RSUs) Derivative · Direct | Holding | no price filed | 2019-03-05 | ||
| 2019-03-01 | Heang Vichheka Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,497 7,493 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | Heang Vichheka Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,872 5,618 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,137 5,138 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,900 17,900 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 75,000 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 75,000 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −32,305 32,305 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 30,000 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | Richards Douglas J. Officer (EVP, Administration) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,076 1,077 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | Richards Douglas J. Officer (EVP, Administration) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 3,750 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | Richards Douglas J. Officer (EVP, Administration) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,875 23,750 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | Richards Douglas J. Officer (EVP, Administration) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,875 23,750 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | Richards Douglas J. Officer (EVP, Administration) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,250 33,750 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | Richards Douglas J. Officer (EVP, Administration) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,923 32,772 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,125 2,125 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600 600 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Performance -Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,000 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,625 31,875 owned after | $0.00 | 2019-03-05 | |
| 2019-03-01 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,317 30,951 owned after | $0.00 | 2019-03-05 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +64,610 64,610 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +59,640 59,640 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,170 34,170 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +64,610 64,610 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +59,640 59,640 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WERNER THOMAS H Director, Officer (Pres and CEO) | 4 | Performance Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,170 34,170 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | WATERS JEFFREY Officer (CEO, SunPower Technologies) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +684,932 684,932 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | Sial Manavendra Officer (EVP and CFO) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | Richards Douglas J. Officer (EVP, Administration) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,695 43,695 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | Richards Douglas J. Officer (EVP, Administration) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Performance-Based Restricted Stock Units (PSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,268 41,268 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,667 56,667 owned after | $0.00 | 2019-02-14 | |
| 2019-02-11 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,909 12,909 owned after | $0.00 | 2019-02-14 | |
| 2019-02-11 | LESJAK CATHERINE A Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,909 0 owned after | $0.00 | 2019-02-14 | |
| 2019-02-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,909 12,909 owned after | $0.00 | 2019-02-13 | |
| 2019-02-11 | MCDANIEL THOMAS R Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,909 0 owned after | $0.00 | 2019-02-13 | |
| 2019-02-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,909 12,909 owned after | $0.00 | 2019-02-13 | |
| 2019-02-11 | Wood Patrick III Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,909 0 owned after | $0.00 | 2019-02-13 | |
| 2019-01-25 | Prakash Vidul Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,465 3,465 owned after | $0.00 | 2019-01-28 | |
| 2019-01-25 | MAHAFFEY KENNETH LAWRENCE Officer (EVP & General Counsel) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,465 3,465 owned after | $0.00 | 2019-01-28 | |
| 2019-01-05 | Prakash Vidul Officer (Principal Accounting Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,000 owned after | $0.00 | 2019-01-08 |