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Super Micro Computer, Inc. — Director's Dealing 2024
Nov 1, 2024
17831_dirs_2024-11-01_2859259e-b1ec-4c52-a9f1-69aa9ba1ed59.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Super Micro Computer, Inc. (SMCI)
CIK: 0001375365
Period of Report: 2024-10-30
Reporting Person: Liang Charles (Director, President and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-10-30 | Common Stock | M | 1667500 | $3.507 | Acquired | 68331670 | Direct |
| 2024-10-30 | Common Stock | F | 928030 | $33.07 | Disposed | 67403640 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-10-30 | Employee Stock Option (right to buy) | $3.507 | M | 1667500 | Disposed | 2025-01-19 | Common Stock (1667500) | Direct |
| 2024-10-30 | Restricted Stock Units | $ | A | 6000 | Acquired | Common Stock (6000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 42340 | Indirect |
Footnotes
F1: Adjusted to reflect a ten-for-one forward split of the Issuer's common stock effective after market close on September 30, 2024.
F2: These transactions reflect Mr. Liang's exercise of a stock option granted in 2015 which expires soon. No shares were sold into (or otherwise entered) the public market, and Mr. Liang did not receive any cash proceeds from this transaction. Instead, the Company withheld shares to pay the exercise price and minimum withholding taxes required by law. All withheld shares were retained by the Company. Of the 1,667,500 shares subject to the option, Mr. Liang retained 739,470 shares after a total of 928,030 shares were withheld.
F3: This option was previously reported as covering 10x fewer shares at a 10x greater exercise price, but was equitably adjusted in connection with the ten-for-one forward split.
F4: This stock option is fully vested and exercisable.
F5: Each restricted stock unit represents a contingent right to receive one share of SMCI common stock.
F6: Subject to the Reporting Person's spouse's continued service to the Issuer, the restricted stock units vest 100% on October 30, 2025. Vested units are settled in shares of SMCI common stock.