SEC FORM 4/A 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
 
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
TOTAL S.A.

(Last) (First) (Middle)
2, PLACE JEAN MILLIER
LA DEFENSE 6

(Street)
92400 COURBEVOIE I0

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SUNPOWER CORP [ SPWR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/16/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
03/18/2020
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/16/2020 P(1) 361,222 A $4.5267(2) 84,330,140 I(4) See Footnote(5)
Common Stock 03/17/2020 P(1) 99,147 A $5.1104(3) 84,429,287 I(4) See Footnote(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
TOTAL S.A.

(Last) (First) (Middle)
2, PLACE JEAN MILLIER
LA DEFENSE 6

(Street)
92400 COURBEVOIE I0

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Total Gaz Electricite Holdings France SAS

(Last) (First) (Middle)
2, PLACE JEAN MILLIER
LA DEFENSE 6

(Street)
92400 COURBEVOIE I0

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Total Solar INTL SAS

(Last) (First) (Middle)
2, PLACE JEAN MILLIER
LA DEFENSE 6

(Street)
92400 COURBEVOIE I0

(City) (State) (Zip)
Explanation of Responses:
1. The transactions reported in Table I of this Form 4 were effected pursuant to a Rule 10b-18 trading plan adopted by the reporting persons on January 10, 2020.
2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.33 to $4.78. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
3. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.55 to $5.40. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
4. Following the transactions reported herein, includes 5,852,605 shares of Common Stock held by Total Gaz Electricite Holdings France SAS and 78,576,682 shares of Common Stock held by Total Solar Intl SAS.
5. Total Solar Intl SAS is a direct wholly owned subsidiary of Total Gaz Electricite Holdings France SAS, which is an indirect wholly owned subsidiary of Total S.A. As a result, each of Total Solar Intl SAS, Total Gaz Electricite Holdings France SAS and Total S.A. may be deemed to beneficially own the securities reported herein.
Remarks:
This amendment is being filed to correct the amount and price of securities acquired on March 16, 2020 and the amount of securities beneficially owned following the reported transactions on March 16, 2020 and March 17, 2020, as well as the number of shares of Common Stock held by Total Gaz Electricite Holdings France SAS following such transactions. No other changes have been made.
TOTAL S.A., By: /s/ Aurelien Hamelle, Name: Aurelien Hamelle, Title: General Counsel 03/20/2020
TOTAL GAZ ELECTRICITE HOLDINGS FRANCE SAS, By: /s/ Laurent Vivier, Name: Laurent Vivier, Title: Managing Director 03/20/2020
TOTAL SOLAR INTL SAS, By: /s/ Noemie Malige, Name: Noemie Malige, Title: Managing Director 03/20/2020
** 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.