Form 4 for SMCI Supermicro
Accepted 2023-10-31 00:00:00 ET · period of report 2023-10-27 · accession 0001758554-23-000115 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-10-31 | 2023-10-27 | SMCI | Liu Liang Chiu-Chu Sara | Dir, 10% | M - OptEx | $38.26 | +961 | 3,021 | +47% | +$36.8K |
| D | 2023-10-31 | 2023-10-27 | SMCI | Liu Liang Chiu-Chu Sara | Dir, 10% | S - Sale+OE | $243.62 | -961 | 2,497 | -28% | -$234.1K |
| DM | 2023-10-31 | 2023-10-27 | SMCI | Liu Liang Chiu-Chu Sara | Dir, 10% | M - OptEx | $0.00 | -961 | 3,147 | -23% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-10-27 | M | A | 437 | $33.36 | 3,458 | D | — | — | |
| 2 | Common | Common Stock | 2023-10-27 | S | D | 961 | $243.62 | 2,497 | D | — | — | (F2) The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $243.4821 to $243.9485, 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. |
| 3 | Common | Common Stock | 2023-10-27 | M | A | 524 | $42.35 | 3,021 | D | — | — | |
| 4 | Derivative | Employee Stock Option (right to buy) | 2023-10-27 | M | D | 437 | $0.00 | 438 | D | $33.36 · — to 2025-08-04 | 437 Common Stock | (F4) 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 January 27, 2021, and 1/16th at the end of each successive calendar quarter thereafter. |
| 5 | Derivative | Employee Stock Option (right to buy) | 2023-10-27 | M | D | 524 | $0.00 | 3,147 | D | $42.35 · — to 2026-04-27 | 524 Common Stock | (F3) 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. |