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Super Micro Computer, Inc. — Director's Dealing 2024
May 1, 2024
17831_dirs_2024-05-01_17daa2d7-15ae-4b46-8733-097b1e46c023.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: 2024-04-29
Reporting Person: Liu Liang Chiu-Chu Sara (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-04-29 | Common Stock | M | 525 | $42.35 | Acquired | 3984 | Direct |
| 2024-04-29 | Common Stock | S | 15 | $831.016 | Disposed | 3969 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $835.87 | Disposed | 3953 | Direct |
| 2024-04-29 | Common Stock | S | 15 | $837.006 | Disposed | 3938 | Direct |
| 2024-04-29 | Common Stock | S | 19 | $839.7158 | Disposed | 3919 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $841.64 | Disposed | 3903 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $843.13 | Disposed | 3887 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $848.01 | Disposed | 3871 | Direct |
| 2024-04-29 | Common Stock | S | 32 | $854.89 | Disposed | 3839 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $858.49 | Disposed | 3823 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $864.56 | Disposed | 3807 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $866.60 | Disposed | 3791 | Direct |
| 2024-04-29 | Common Stock | S | 32 | $869.825 | Disposed | 3759 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $872.30 | Disposed | 3743 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $873.50 | Disposed | 3727 | Direct |
| 2024-04-29 | Common Stock | S | 32 | $875.345 | Disposed | 3695 | Direct |
| 2024-04-29 | Common Stock | S | 32 | $877.345 | Disposed | 3663 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $878.14 | Disposed | 3647 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $879.55 | Disposed | 3631 | Direct |
| 2024-04-29 | Common Stock | S | 32 | $883.04 | Disposed | 3599 | Direct |
| 2024-04-29 | Common Stock | S | 32 | $887.185 | Disposed | 3567 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $888.40 | Disposed | 3551 | Direct |
| 2024-04-29 | Common Stock | S | 32 | $889.685 | Disposed | 3519 | Direct |
| 2024-04-29 | Common Stock | S | 14 | $891.07 | Disposed | 3505 | Direct |
| 2024-04-29 | Common Stock | S | 16 | $892.50 | Disposed | 3489 | Direct |
| 2024-04-29 | Common Stock | S | 30 | $894.1713 | Disposed | 3459 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-04-29 | Employee Stock Option (right to buy) | $42.35 | M | 525 | Disposed | 2026-04-27 | Common Stock (525) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6666417 | Indirect |
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 on February 23, 2023 during the Company's open window period (the "Trading Plan").
F2: The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $831.01 to $831.03, inclusive. The Reporting Person 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.
F3: The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $837.00 to $837.02, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $839.00 to $839.85, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $854.53 to $855.25, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $869.58 to $870.07, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $874.96 to $875.73, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $877.14 to $877.55, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $882.83 to $883.25, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $887.00 to $887.37, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $889.64 to $889.73, inclusive. The Reporting Person 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. The shares were sold in multiple transactions at prices ranging from $894.05 to $894.31, inclusive. The Reporting Person 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: Subject to the Reporting Person'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.