Form 4 for SMCI Supermicro

Accepted 2023-01-06 00:00:00 ET · period of report 2023-01-04 · accession 0001758554-23-000003 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
DI	2023-01-06	2022-11-29	SMCI	Liu Liang Chiu-Chu Sara	Dir, 10%	G - Gift	$0.00	-16.0K	6.64M	-0.2%	$0
DI	2023-01-06	2023-01-04	SMCI	Liu Liang Chiu-Chu Sara	Dir, 10%	A - Grant	$0.00	+200.0K	600.0K	+50%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-11-29	G	D	16,000	$0.00	6,635,229	I By Spouse	—	—	(F1) This transaction represents a charitable contribution by the Reporting Person's spouse.
2	Derivative	Employee Stock Option (right to buy)	2023-01-04	A	A	200,000	$0.00	600,000	I By Spouse	$45.00 · — to 2031-03-02	200,000 Common Stock	(F2) On March 2, 2021, the Reporting Person's spouse was granted a performance-based stock option award to purchase up to 1,000,000 shares of common stock (the "Award") if and to the extent the five equal tranches of the Award are earned based on the achievement of certain absolute revenue and stock price goals. On January 4, 2023, achievement of the revenue goal for the third tranche of 200,000 shares under the Award was certified, which resulted in the creation of the derivative security reported in this filing. On such date, the applicable $75 stock price goal achievement for the third tranche was also certified, and the 200,000 shares associated therewith were earned and became exercisable.