SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SUNPOWER CORP
[ SPWR ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| EVP & General Counsel |
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3. Date of Earliest Transaction
(Month/Day/Year)
02/19/2013
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Restricted Stock Units (RSUs) |
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02/19/2013 |
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A |
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50,000 |
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Common Stock |
50,000 |
$0
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50,000 |
D |
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| Explanation of Responses: |
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Karla Rogers, as attorney-of-fact for Lisa Bodensteiner |
02/21/2013 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned
hereby constitutes and appoints Christopher Jaap, Jia Liu,
Karla Rogers, Kristy Midkiff and Emily McIntyre, and each of
them, as the true and lawful attorney or attorneys-in-fact,
with full power of substitution and revocation, for the
undersigned and in the name, place and stead of the
undersigned, in any and all capacities, to execute, on behalf
of the undersigned, any and all statements or reports under
Section 16 of the Securities Exchange Act of 1934, as amended,
with respect to the beneficial ownership of shares of common
stock, par value $0.001 per share, or other securities of
SunPower Corporation, including, without limitation, all
initial statements of beneficial ownership on Form 3, all
statements of changes in beneficial ownership on Form 4, all
annual statements of beneficial ownership on Form 5 and all
successor or similar forms, to be filed with the Securities
and Exchange Commission, to execute any and all amendments or
supplements to any such statements or reports, and to file the
same, with all exhibits thereto, and other documents in
connection therewith, with the Securities and Exchange
Commission, granting to said attorney or attorneys-in-fact,
and each of them, full power and authority to do so and
perform each and every act and thing requisite and necessary
to be done in and about the premises (including, without
limitation, completing, executing and delivering a Form ID to
apply for electronic filing codes), as fully and to all
intents and purposes as the undersigned might or could do in
person, and hereby ratifying and confirming all that said
attorney or attorneys-in-fact, or any of them, or their
substitute or substitutes, may lawfully do or cause to be done
by virtue hereof. The undersigned acknowledges that the
foregoing attorneys-in-fact, and each of them, in serving in
such capacity at the request of the undersigned, are not
assuming any of the responsibilities of the undersigned to
comply with Section 16 of the Securities Exchange Act of 1934
or any other legal requirement. This Power of Attorney shall
remain in effect until revoked in writing by the undersigned.
/s/ Lisa Bodensteiner
Name: Lisa Bodensteiner
Date: 9/12/12
e Securities Exchange Act of 1934
or any other legal requirement. This Power of Attorney shall
remain in effect until revoked in writing by the undersigned.
