Form 4 for SMCI Supermicro
Accepted 2024-11-12 00:00:00 ET · period of report 2024-11-08 · accession 0001758554-24-000093 · 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 | 2024-11-12 | 2024-11-10 | SMCI | Liaw Yih-Shyan Wally | Dir | F - Tax | $24.52 | -4,435 | 59.4K | -7% | -$108.7K |
| DM | 2024-11-12 | 2024-11-10 | SMCI | Liaw Yih-Shyan Wally | Dir | M - OptEx | — | +8,750 | 61.6K | +17% | — |
| D | 2024-11-12 | 2024-11-08 | SMCI | Liaw Yih-Shyan Wally | Dir | A - Grant | $0.00 | +30.2K | 30.2K | New | $0 |
| DM | 2024-11-12 | 2024-11-10 | SMCI | Liaw Yih-Shyan Wally | Dir | M - OptEx | $0.00 | -8,750 | 35.0K | -20% | $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 | 2024-11-10 | F | D | 2,220 | $24.52 | 61,545 | D | — | — | |
| 2 | Common | Common Stock | 2024-11-10 | M | A | 4,380 | — | 63,765 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
| 3 | Common | Common Stock | 2024-11-10 | M | A | 4,370 | — | 61,600 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
| 4 | Common | Common Stock | 2024-11-10 | F | D | 2,215 | $24.52 | 59,385 | D | — | — | |
| 5 | Derivative | Employee Stock Option (right to buy) | 2024-11-08 | A | A | 30,175 | $0.00 | 30,175 | D | $24.52 · — to 2034-11-08 | 30,175 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 November 8, 2025, and 1/16th at the end of each successive calendar quarter thereafter. |
| 6 | Derivative | Restricted Stock Units | 2024-11-10 | M | D | 4,370 | $0.00 | 30,630 | D | — · — to — | 4,370 Common Stock | (F4) This RSU was previously reported as covering 10x fewer shares but was adjusted in connection with the ten-for-one forward split. (F1) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. (F5) Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest at the rate of 25% of the total number of units on August 10, 2023 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock. |
| 7 | Derivative | Restricted Stock Units | 2024-11-10 | M | D | 4,380 | $0.00 | 35,000 | D | — · — to — | 4,380 Common Stock | (F4) This RSU was previously reported as covering 10x fewer shares but was adjusted in connection with the ten-for-one forward split. (F1) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. (F6) Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest at the rate of 25% of the total number of units on November 10, 2023 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock. |