Super Micro Computer, Inc. — Director's Dealing 2023

Jan 20, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Super Micro Computer, Inc. (SMCI)
CIK: 0001375365
Period of Report: 2023-01-17

Reporting Person: Liu Liang Chiu-Chu Sara (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-01-17	Common Stock	M	83044	$20.70	Acquired	6718273	Indirect
2023-01-17	Common Stock	S	12201	$80.9229	Disposed	6706072	Indirect
2023-01-17	Common Stock	S	13328	$81.9548	Disposed	6692744	Indirect
2023-01-17	Common Stock	S	10825	$82.7874	Disposed	6681919	Indirect
2023-01-17	Common Stock	S	10679	$84.0412	Disposed	6671240	Indirect
2023-01-17	Common Stock	S	2967	$84.688	Disposed	6668273	Indirect
2023-01-18	Common Stock	M	80150	$20.70	Acquired	6748423	Indirect
2023-01-18	Common Stock	S	14605	$79.0491	Disposed	6733818	Indirect
2023-01-18	Common Stock	S	10937	$80.3801	Disposed	6722881	Indirect
2023-01-18	Common Stock	S	3763	$81.232	Disposed	6719118	Indirect
2023-01-18	Common Stock	S	3045	$82.2804	Disposed	6716073	Indirect
2023-01-18	Common Stock	S	5518	$83.4841	Disposed	6710555	Indirect
2023-01-18	Common Stock	S	7077	$85.4388	Disposed	6703478	Indirect
2023-01-18	Common Stock	S	4855	$86.2435	Disposed	6698623	Indirect
2023-01-18	Common Stock	S	200	$86.80	Disposed	6698423	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-01-17	Employee Stock Option (right to buy)	$20.7	M	83044	Disposed	2023-01-21	Common Stock (83044.0)	Indirect
2023-01-18	Employee Stock Option (right to buy)	$20.7	M	80150	Disposed	2023-01-21	Common Stock (80150.0)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2863	Direct

Footnotes

F1: 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 in November 2022 during the Company's open window period (the "Trading Plan").

F2: As of January 16, 2023, the Reporting Person's spouse held 231,260 in the money stock options that expire on January 21, 2023. Such stock options had originally been issued on January 21, 2013 at an exercise price of $20.70. Under the Trading Plan, the broker was instructed to sell just the amount of shares necessary to cover the option cost, taxes, commissions and fees of the stock options exercised under the Trading Plan (the "Program"). Following all such transactions reported in this Form 4, the amount of securities beneficially owned directly by the reporting person's spouse increased to 6,698,423 from 6,635,229 reported in the prior Form 4 filed by the reporting person's spouse on January 6, 2023.

F3: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $80.4198 to $81.39, 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.

F4: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $81.4405 to $82.4359, 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.

F5: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $82.45 to $83.4268, 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.

F6: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $83.4532 to $84.44, 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.

F7: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $84.46 to $84.87, 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.

F8: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $78.67 to $79.64, 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.

F9: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $79.77 to $80.7679, 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.

F10: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $80.77 to $81.60, 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.

F11: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $81.90 to $82.5734, 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.

F12: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $83.1246 to $84.0504, 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.

F13: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $84.78 to $85.7753, 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.

F14: The price reported here is a weighted average price. In connection with the Program, the shares reported in this Form 4 were sold in multiple transactions at prices ranging from $85.78 to $86.76, 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.

F15: This stock option is fully vested and exercisable.