Form 4 for SMCI Supermicro
Accepted 2024-11-01 00:00:00 ET · period of report 2024-10-30 · accession 0001758554-24-000091 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-11-01 | 2024-10-30 | SMCI | TUAN SHERMAN | Dir | M - OptEx | $3.92 | +25.0K | 255.6K | +11% | +$98.0K |
| D | 2024-11-01 | 2024-10-30 | SMCI | TUAN SHERMAN | Dir | F - Tax | $33.07 | -2,964 | 252.6K | -1% | -$98.0K |
| D | 2024-11-01 | 2024-10-30 | SMCI | TUAN SHERMAN | Dir | M - OptEx | $0.00 | -25.0K | 0 | -100% | $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 | 2024-10-30 | M | A | 25,000 | $3.92 | 255,590 | D | — | — | (F1) Adjusted to reflect a ten-for-one forward split of the Issuer's common stock effective after market close on September 30, 2024. |
| 2 | Common | Common Stock | 2024-10-30 | F | D | 2,964 | $33.07 | 252,626 | D | — | — | (F2) These transactions reflect Mr. Tuan'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. Tuan did not receive any cash proceeds from this transaction. Instead, the Company withheld shares to pay the exercise price. All withheld shares were retained by the Company. Of the 25,000 shares subject to the option, Mr. Tuan retained 22,036 shares after a total of 2,964 shares were withheld. (F1) Adjusted to reflect a ten-for-one forward split of the Issuer's common stock effective after market close on September 30, 2024. |
| 3 | Derivative | Stock Option (right to buy) | 2024-10-30 | M | D | 25,000 | $0.00 | 0 | D | $3.92 · — to 2025-02-11 | 25,000 Common Stock | (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) The stock option is fully vested and exercisable. |