| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SMCI | Common Stock | Options Exercise | +197 | +7.3% | 2,911 | 10 Feb 2024 | By Spouse | F1 | ||
| transaction | SMCI | Common Stock | Tax liability | $52,561 | -71 | -2.4% | $740.29 | 2,840 | 10 Feb 2024 | By Spouse | |
| transaction | SMCI | Common Stock | Options Exercise | +236 | +8.3% | 3,076 | 10 Feb 2024 | By Spouse | F1 | ||
| transaction | SMCI | Common Stock | Tax liability | $69,587 | -94 | -3.1% | $740.29 | 2,982 | 10 Feb 2024 | By Spouse | |
| holding | SMCI | Common Stock | 6,666,417 | 10 Feb 2024 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SMCI | Restricted Stock Units | Options Exercise | $0 | -197 | -100% | $0.000000* | 0 | 10 Feb 2024 | Common Stock | 197 | By Spouse | F1, F2 | |
| transaction | SMCI | Restricted Stock Units | Options Exercise | $0 | -236 | -17% | $0.000000 | 1,182 | 10 Feb 2024 | Common Stock | 236 | By Spouse | F1, F3 | |
| transaction | SMCI | Employee Stock Option (right to buy) | Award | $0 | +200,000 | +25% | $0.000000 | 1,000,000 | 12 Feb 2024 | Common Stock | 200,000 | $45.00 | Direct | F4 |
| Id | Content |
|---|---|
| F1 | Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
| F2 | Subject to the Reporting Person's spouse's continued service to the Issuer, the restricted stock units vest at the rate of 25% of the total number of units on February 10, 2021 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. |
| F3 | Subject to the Reporting Person's spouse'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. |
| F4 | On March 2, 2021, the Reporting Person was granted a performance-based stock option award to purchase up to 1,000,000 shares of common stock (the "Award") if and to the extent the five equal tranches of the Award are earned based on the achievement of certain absolute revenue and stock price goals. On February 12, 2024, achievement of the revenue goal for the fifth tranche of 200,000 shares under the Award was certified, which resulted in the creation of the derivative security reported in this filing. The applicable $120 stock price goal achievement for the fifth tranche had previously been certified, and, as a result, the 200,000 shares associated therewith were earned and became exercisable. |