Charles Liang - Jun 1, 2023 Form 4 Insider Report for Super Micro Computer, Inc. (SMCI)

Signature
/s/ David E Weigand, Attorney-In-Fact
Stock symbol
SMCI
Transactions as of
Jun 1, 2023
Transactions value $
-$8,985,833
Form type
4
Date filed
6/5/2023, 04:37 PM
Previous filing
May 12, 2023
Next filing
Jul 31, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SMCI Common Stock Options Exercise $178K +4.19K +108.15% $42.35 8.07K Jun 1, 2023 By Spouse F1
transaction SMCI Common Stock Options Exercise $190K +5.69K +70.45% $33.36 13.8K Jun 1, 2023 By Spouse F1
transaction SMCI Common Stock Options Exercise $246K +9K +65.41% $27.28 22.8K Jun 1, 2023 By Spouse F1
transaction SMCI Common Stock Options Exercise $413K +23K +101.06% $17.96 45.8K Jun 1, 2023 By Spouse F1
transaction SMCI Common Stock Sale -$248K -1.12K -2.45% $221.32 44.6K Jun 1, 2023 By Spouse F1, F2
transaction SMCI Common Stock Sale -$338K -1.52K -3.41% $222.04 43.1K Jun 1, 2023 By Spouse F1, F3
transaction SMCI Common Stock Sale -$199K -892 -2.07% $223.37 42.2K Jun 1, 2023 By Spouse F1, F4
transaction SMCI Common Stock Sale -$694K -3.09K -7.33% $224.46 39.1K Jun 1, 2023 By Spouse F1, F5
transaction SMCI Common Stock Sale -$610K -2.71K -6.91% $225.54 36.4K Jun 1, 2023 By Spouse F1, F6
transaction SMCI Common Stock Sale -$542K -2.39K -6.57% $226.63 34K Jun 1, 2023 By Spouse F1, F7
transaction SMCI Common Stock Sale -$1.31M -5.75K -16.9% $227.63 28.3K Jun 1, 2023 By Spouse F1, F8
transaction SMCI Common Stock Sale -$2.52M -11K -39.01% $228.57 17.2K Jun 1, 2023 By Spouse F1, F9
transaction SMCI Common Stock Sale -$1.75M -7.62K -44.16% $229.54 9.63K Jun 1, 2023 By Spouse F1, F10
transaction SMCI Common Stock Sale -$1.35M -5.87K -60.92% $230.46 3.76K Jun 1, 2023 By Spouse F1, F11
transaction SMCI Common Stock Sale -$448K -1.94K -51.46% $231.37 1.83K Jun 1, 2023 By Spouse F1, F12
holding SMCI Common Stock 6.72M Jun 1, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SMCI Employee Stock Option (right to buy) Options Exercise $0 -4.19K -49.99% $0.00 4.2K Jun 1, 2023 Common Stock 4.19K $42.35 By Spouse F13
transaction SMCI Employee Stock Option (right to buy) Options Exercise $0 -5.69K -81.24% $0.00 1.31K Jun 1, 2023 Common Stock 5.69K $33.36 By Spouse F14
transaction SMCI Employee Stock Option (right to buy) Options Exercise $0 -9K -100% $0.00* 0 Jun 1, 2023 Common Stock 9K $27.28 By Spouse F15
transaction SMCI Employee Stock Option (right to buy) Options Exercise $0 -23K -100% $0.00* 0 Jun 1, 2023 Common Stock 23K $17.96 By Spouse F15
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The stock option exercises and broker-assisted sales transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person's spouse on February 23, 2023 during the Company's open window period (the "Trading Plan").
F2 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $220.72 to $221.57, inclusive. The reporting person's spouse 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.
F3 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $221.7218 to $222.6282, inclusive. The reporting person's spouse 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.
F4 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $222.8467 to $223.61, inclusive. The reporting person's spouse 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.
F5 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $223.8703 to $224.87, inclusive. The reporting person's spouse 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.
F6 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $224.9567 to $225.90, inclusive. The reporting person's spouse 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.
F7 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $225.9748 to $226.9606, inclusive. The reporting person's spouse 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.
F8 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $227.00 to $227.9954, inclusive. The reporting person's spouse 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.
F9 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $228.00 to $228.99, inclusive. The reporting person's spouse 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.
F10 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $229.00 to $229.9962, inclusive. The reporting person's spouse 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.
F11 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $230.01 to $230.99, inclusive. The reporting person's spouse 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.
F12 The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $231.02 to $231.87, inclusive. The reporting person's spouse 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.
F13 Subject to the Reporting Person's spouse'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.
F14 Subject to the Reporting Person's spouse'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.
F15 The stock option is fully vested and exercisable.