Filing Details
- Accession Number:
- 0001758554-23-000055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-06-05 16:37:41
- Reporting Period:
- 2023-06-01
- Accepted Time:
- 2023-06-05 16:37:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1375365 | Super Micro Computer Inc. | SMCI | Electronic Computers (3571) | 770353939 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1392942 | Charles Liang | 980 Rock Avenue San Jose CA 95131 | President And Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-06-01 | 4,194 | $42.35 | 8,072 | No | 4 | M | Indirect | By Spouse |
| Common Stock | Acquisiton | 2023-06-01 | 5,687 | $33.36 | 13,759 | No | 4 | M | Indirect | By Spouse |
| Common Stock | Acquisiton | 2023-06-01 | 9,000 | $27.28 | 22,759 | No | 4 | M | Indirect | By Spouse |
| Common Stock | Acquisiton | 2023-06-01 | 23,000 | $17.96 | 45,759 | No | 4 | M | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 1,119 | $221.32 | 44,640 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 1,521 | $222.04 | 43,119 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 892 | $223.37 | 42,227 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 3,094 | $224.46 | 39,133 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 2,705 | $225.54 | 36,428 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 2,393 | $226.63 | 34,035 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 5,751 | $227.63 | 28,284 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 11,035 | $228.57 | 17,249 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 7,618 | $229.54 | 9,631 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 5,867 | $230.46 | 3,764 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Disposition | 2023-06-01 | 1,937 | $231.37 | 1,827 | No | 4 | S | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | By Spouse |
| No | 4 | M | Indirect | By Spouse |
| No | 4 | M | Indirect | By Spouse |
| No | 4 | M | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2023-06-01 | 4,194 | $0.00 | 4,194 | $42.35 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2023-06-01 | 5,687 | $0.00 | 5,687 | $33.36 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2023-06-01 | 9,000 | $0.00 | 9,000 | $27.28 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2023-06-01 | 23,000 | $0.00 | 23,000 | $17.96 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,196 | 2026-04-27 | No | 4 | M | Indirect | |
| 1,313 | 2025-08-04 | No | 4 | M | Indirect | |
| 0 | 2026-01-27 | No | 4 | M | Indirect | |
| 0 | 2024-01-20 | No | 4 | M | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,722,717 | Direct |
Footnotes
- The stock option exercises and broker-assisted sales transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person's spouse on February 23, 2023 during the Company's open window period (the "Trading Plan").
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $220.72 to $221.57, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $221.7218 to $222.6282, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $222.8467 to $223.61, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $223.8703 to $224.87, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $224.9567 to $225.90, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $225.9748 to $226.9606, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $227.00 to $227.9954, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $228.00 to $228.99, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $229.00 to $229.9962, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $230.01 to $230.99, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $231.02 to $231.87, inclusive. The reporting person's spouse undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- Subject to the Reporting Person's spouse's continued service to the Issuer, the total number of shares subject to the option shall vest and become exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date on April 27, 2022, and 1/16th at the end of each successive calendar quarter thereafter.
- Subject to the Reporting Person's spouse's continued service to the Issuer, the total number of shares subject to the option shall vest and become exercisable at the rate of 1/4th of the shares on the first anniversary of the vesting commencement date on January 27, 2021, and 1/16th at the end of each successive calendar quarter thereafter.
- The stock option is fully vested and exercisable.
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