Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
holding | SMCI | Common Stock | 3.98K | Dec 6, 2023 | Direct | ||||||
holding | SMCI | Common Stock | 19.4K | Dec 6, 2023 | By Spouse | ||||||
holding | SMCI | Common Stock | 1.52M | Dec 6, 2023 | By Liaw Family Trust | F1 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
holding | SMCI | Employee Stock Option (right to buy) | Dec 6, 2023 | Common Stock | 15K | $56.16 | Direct | F2 | ||||||
holding | SMCI | Restricted Stock Units | Dec 6, 2023 | Common Stock | 4.81K | Direct | F3, F4 | |||||||
holding | SMCI | Employee Stock Option (right to buy) | Dec 6, 2023 | Common Stock | 15K | $67.04 | Direct | F5 | ||||||
holding | SMCI | Restricted Stock Units | Dec 6, 2023 | Common Stock | 5.25K | Direct | F4, F6 | |||||||
holding | SMCI | Restricted Stock Units | Dec 6, 2023 | Common Stock | 500 | Direct | F4, F7 | |||||||
holding | SMCI | Restricted Stock Units | Dec 6, 2023 | Common Stock | 319 | Direct | F4, F8 |
Id | Content |
---|---|
F1 | These shares are held in a trust for the benefit of the Reporting Person's children. The Reporting Person and his spouse, Shiow-Meei S. Liaw, are the trustees of the trust. |
F2 | 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 August 2, 2022, and 1/16th at the end of each successive calendar quarter thereafter. |
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 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. |
F4 | 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 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 October 25, 2022, and 1/16th at the end of each successive calendar quarter thereafter. |
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. |
F7 | Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest in two equal tranches on August 15, 2023 and February 15, 2024. Vested units are settled in shares of SMCI common stock. |
F8 | Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest in four equal annual increments on July 1 of each year, beginning on July 1, 2024. Vested units are settled in shares of SMCI common stock. |