Form 4 for SMCI Supermicro
Accepted 2024-11-12 00:00:00 ET · period of report 2024-11-10 · accession 0001758554-24-000099 · 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 | Liu Liang Chiu-Chu Sara | Dir, 10% | F - Tax | $24.52 | -2,404 | 43.4K | -5% | -$58.9K |
| DM | 2024-11-12 | 2024-11-10 | SMCI | Liu Liang Chiu-Chu Sara | Dir, 10% | M - OptEx | — | +4,470 | 45.5K | +11% | — |
| DM | 2024-11-12 | 2024-11-10 | SMCI | Liu Liang Chiu-Chu Sara | Dir, 10% | M - OptEx | $0.00 | -4,470 | 21.1K | -17% | $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 | 1,135 | $24.52 | 44,406 | D | — | — | |
| 2 | Common | Common Stock | 2024-11-10 | F | D | 1,269 | $24.52 | 43,431 | D | — | — | |
| 3 | Common | Common Stock | 2024-11-10 | M | A | 2,360 | — | 44,700 | 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 | M | A | 2,110 | — | 45,541 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
| 5 | Derivative | Restricted Stock Units | 2024-11-10 | M | D | 2,360 | $0.00 | 4,730 | D | — · — to — | 2,360 Common Stock | (F2) 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. (F3) 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 May 10, 2022 and 1/16th of the total number of units at the end of each of the next twelve 3-month periods thereafter. Vested units are settled in shares of SMCI common stock. |
| 6 | Derivative | Restricted Stock Units | 2024-11-10 | M | D | 2,110 | $0.00 | 21,130 | D | — · — to — | 2,110 Common Stock | (F2) 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. (F4) 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 May 10, 2024 and 1/16th of the total number of units at the end of each of the successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock. |